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.
B•••• L••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jul 1, 2025 · San Diego, Ca
- U••• B•••••• I••••••••• I••• formerOct 31, 2023 to Nov 20, 2024 · Irvine, Ca
- C•••••• S••••• • C••• I••• national BDJan 18, 2023 to Oct 30, 2023 · San Diego, Ca
- U••• B•••••• I••••••••• I••• to U•• F•••••••• S••••••• I•••left Nov 20, 2024, registered Jul 1, 2025 (223 days) · Affiliated broker-dealer or bank to wirehouse
- C•••••• S••••• • C••• I••• to U••• B•••••• I••••••••• I•••left Oct 30, 2023, registered Oct 31, 2023 (1 days) · Affiliated broker-dealer or bank to another
- B•••• L•••• left U••• B•••••• I••••••••• I••• for U•• F•••••••• S••••••• I••• (registered 2025-07-01)Nov 20, 2024 · Advisor changed firm · fact
- B•••• L•••• left C•••••• S••••• • C••• I••• for U••• B•••••• I••••••••• I••• (registered 2023-10-31)Oct 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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address