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.
D••••• J••• L••••
- R•• C•••••• M••••••• L•• national BD currentsince May 8, 2024 · Palm Desert, Ca
- W•••• F•••• A••••••• wirehouseJun 30, 2015 to May 15, 2024 · Palm Desert, Ca
- U•• F•••••••• S••••••• I••• wirehouseMay 12, 2010 to Jul 15, 2015 · Indian W••••, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to May 18, 2010 · Indian W••••, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Palm Desert, Ca
- M••••• S•••••• D• I••• unclassifiedSep 22, 2006 to Apr 2, 2007 · Palm Desert, Ca
- U•• F•••••••• S••••••• I••• wirehouseFeb 11, 2002 to Oct 3, 2006 · Indian W••••, Ca
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left May 15, 2024, registered May 8, 2024 (-7 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Jul 15, 2015, registered Jun 30, 2015 (-15 days) · Wirehouse to wirehouse
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left May 18, 2010, registered May 12, 2010 (-6 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M••••• S•••••• D• I•••left Oct 3, 2006, registered Sep 22, 2006 (-11 days) · Other
- D••••• J••• L•••• left W•••• F•••• A••••••• for R•• C•••••• M••••••• L•• (registered 2024-05-08)May 15, 2024 · 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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address