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.
J•• P• M••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 15, 2025 · Orange, Ca
- O•••• W•••••• I••• BD affiliatedNov 3, 2023 to Sep 17, 2025 · Orange, Ca
- F•• S••••••••• C••••••••• formerApr 26, 2021 to Nov 3, 2023 · Orange, Ca
- V••• F•••••••• A•••••••• I••• BD affiliatedAug 4, 2016 to Apr 27, 2021 · Orange, Ca
- C••••• A•••••• N••••••• L•• formerNov 19, 2014 to Jun 10, 2016 · Oakland, Ca
- C•••••• G••••••• W••••• M••••••••• L•• formerNov 15, 2012 to Nov 19, 2014 · Orange, Ca
- W••••••• F•••••••• S•••••••• I••• formerJul 1, 2009 to Nov 20, 2012 · Orange, Ca
- E•• F•••••••• A••••••• independent RIAJul 12, 2005 to Jun 22, 2009 · Orange, Ca
- E•••••••• A•••••••• L•• national BDJun 1, 2005 to Jul 1, 2005 · Los Angeles, Ca
- M••• S••••••••• C••••••••• unclassifiedOct 15, 1999 to Jun 1, 2005 · Orange, Ca
- O•••• W•••••• I••• to L•• F•••••••• L••left Sep 17, 2025, registered Sep 15, 2025 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
- F•• S••••••••• C••••••••• to O•••• W•••••• I•••left Nov 3, 2023, registered Nov 3, 2023 (0 days) · corporate re-registration, not a move
- V••• F•••••••• A•••••••• I••• to F•• S••••••••• C•••••••••left Apr 27, 2021, registered Apr 26, 2021 (-1 days) · Affiliated broker-dealer or bank to another
- C••••• A•••••• N••••••• L•• to V••• F•••••••• A•••••••• I•••left Jun 10, 2016, registered Aug 4, 2016 (55 days) · Other
- C•••••• G••••••• W••••• M••••••••• L•• to C••••• A•••••• N••••••• L••left Nov 19, 2014, registered Nov 19, 2014 (0 days) · Other
- W••••••• F•••••••• S•••••••• I••• to C•••••• G••••••• W••••• M••••••••• L••left Nov 20, 2012, registered Nov 15, 2012 (-5 days) · Other
- E•• F•••••••• A••••••• to W••••••• F•••••••• S•••••••• I•••left Jun 22, 2009, registered Jul 1, 2009 (9 days) · Other
- E•••••••• A•••••••• L•• to E•• F•••••••• A•••••••left Jul 1, 2005, registered Jul 12, 2005 (11 days) · Other
- M••• S••••••••• C••••••••• to E•••••••• A•••••••• L••left Jun 1, 2005, registered Jun 1, 2005 (0 days) · corporate re-registration, not a move
- J•• P• M•••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2025-09-15)Sep 17, 2025 · a•••••• firm change · 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
- 47derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address