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.
P•••••• A••••• K•••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 13, 2024 · San Diego, Ca
- 1• E••••• independent RIAFeb 10, 2022 to Feb 2, 2026 · Santa Barbara, Ca
- G••••• I••••••••• M••••••••• I••• unclassifiedSep 5, 2017 to Nov 30, 2023 · San Diego, Ca
- 1• E••••• to L•• F•••••••• L••left Feb 2, 2026, registered Mar 13, 2024 (-691 days) · RIA to affiliated broker-dealer or bank
- G••••• I••••••••• M••••••••• I••• to 1• E•••••left Nov 30, 2023, registered Feb 10, 2022 (-658 days) · Other
- P•••••• A••••• K••••• left 1• E••••• for L•• F•••••••• L•• (registered 2024-03-13)Feb 2, 2026 · Advisor changed firm · fact
- P•••••• A••••• K••••• left G••••• I••••••••• M••••••••• I••• for 1• E••••• (registered 2022-02-10)Nov 30, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address