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.
L•••••• A•••• B••••••••
- R•• S••••••••• I••• BD affiliated currentsince Jul 20, 2026 · Los Angeles, Ca
- S•••••••• A••••••• L•• national BDMay 9, 2025 to Jan 21, 2026 · Santa Monica, Ca
- E•••••••• A•••••••• L•• national BDDec 6, 2023 to Feb 3, 2025 · Los Angeles, Ca
- S•••••••• A••••••• L•• to R•• S••••••••• I•••left Jan 21, 2026, registered Jul 20, 2026 (180 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to S•••••••• A••••••• L••left Feb 3, 2025, registered May 9, 2025 (95 days) · Affiliated broker-dealer or bank to another
- L•••••• A•••• B•••••••• left S•••••••• A••••••• L•• for R•• S••••••••• I••• (registered 2026-07-20)Jan 21, 2026 · Advisor changed firm · fact
- L•••••• A•••• B•••••••• left E•••••••• A•••••••• L•• for S•••••••• A••••••• L•• (registered 2025-05-09)Feb 3, 2025 · 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address