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.
S•••• N•••• K•••••
- W•••• F•••• A••••••• wirehouse currentsince Jan 28, 2026 · Irvine, Ca
- F••••• W••••• P•••••••• I••• independent RIAMar 27, 2025 to Jan 22, 2026 · Ontario, Ca
- N•• M•••• unclassifiedAug 6, 2020 to Jul 23, 2023 · Garden Grove, Ca
- F••••• W••••• P•••••••• I••• to W•••• F•••• A•••••••left Jan 22, 2026, registered Jan 28, 2026 (6 days) · RIA to wirehouse
- N•• M•••• to F••••• W••••• P•••••••• I•••left Jul 23, 2023, registered Mar 27, 2025 (613 days) · Other
- S•••• N•••• K••••• left F••••• W••••• P•••••••• I••• for W•••• F•••• A••••••• (registered 2026-01-28)Jan 22, 2026 · Advisor changed firm · fact
- S•••• N•••• K••••• left N•• M•••• for F••••• W••••• P•••••••• I••• (registered 2025-03-27)Jul 23, 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address