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.
- M•••••• BD affiliated currentsince Apr 27, 2026 · Sacramento, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDDec 19, 2025 to Apr 9, 2026 · Sacramento, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedFeb 27, 2025 to Dec 22, 2025 · Roseville, Ca
- A••••••••• F•••••••• S•••••••• L•• to M••••••left Apr 9, 2026, registered Apr 27, 2026 (18 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Dec 22, 2025, registered Dec 19, 2025 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- B•••• L•••• L•••••• left A••••••••• F•••••••• S•••••••• L•• for Mariner (registered 2026-04-27)Apr 9, 2026 · Advisor changed firm · fact
- B•••• L•••• L•••••• left M•• I•••••••• S•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-12-19)Dec 22, 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address