RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
W•••••• S••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Dec 4, 2025 · Pasadena, Ca
- S•••••••• A••••••• L•• national BDMar 31, 2025 to Nov 6, 2025 · Encinitas, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerMar 6, 2023 to Mar 31, 2025 · Encinitas, Ca
- K••••• P•••••• W••••• S•••••••• L•• BD affiliatedApr 29, 2020 to Sep 19, 2022 · San Diego, Ca
- H•••••• S••••••••• I••• BD affiliatedJun 22, 2018 to May 27, 2020 · Del Mar, Ca
- S•••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 6, 2025, registered Dec 4, 2025 (28 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- K••••• P•••••• W••••• S•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 19, 2022, registered Mar 6, 2023 (168 days) · Affiliated broker-dealer or bank to another
- H•••••• S••••••••• I••• to K••••• P•••••• W••••• S•••••••• L••left May 27, 2020, registered Apr 29, 2020 (-28 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••••• S•••••• left S•••••••• A••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2025-12-04)Nov 6, 2025 · Advisor changed firm · fact
- W•••••• S•••••• left K••••• P•••••• W••••• S•••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-03-06)Sep 19, 2022 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address