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.
C••••• P••••••
- S•••••••• A••••••• L•• national BD currentsince May 28, 2025 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedApr 30, 2024 to Nov 11, 2024 · San Diego, Ca
- S••••••••• A•••••• A•••••••• I••• formerSep 25, 2023 to Apr 29, 2024 · San Diego, Ca
- L•• F•••••••• L•• to S•••••••• A••••••• L••left Nov 11, 2024, registered May 28, 2025 (198 days) · Affiliated broker-dealer or bank to another
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Apr 29, 2024, registered Apr 30, 2024 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
- C••••• P•••••• left L•• F•••••••• L•• for S•••••••• A••••••• L•• (registered 2025-05-28)Nov 11, 2024 · Advisor changed firm · fact
- C••••• P•••••• left S••••••••• A•••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2024-04-30)Apr 29, 2024 · 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
- National broker-dealer RIAderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address