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.
R••••• J••••• B••••••
- D•• W••••• M••••••••• L•• independent RIA currentsince Sep 3, 2019 · Indian Wells, Ca
- C•••••••• F••••••••• I••• BD affiliatedOct 30, 2015 to Aug 30, 2019 · Indian Wells, Ca
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• formerJul 11, 2007 to Oct 30, 2015 · Indian Wells, Ca
- B••••••••• S••••••••• C••••••••• unclassifiedJan 22, 2003 to Jul 12, 2007 · Palm Desert, Ca
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedAug 3, 2001 to Dec 31, 2002 · Palm Desert, Ca
- C•••••••• F••••••••• I••• to D•• W••••• M••••••••• L••left Aug 30, 2019, registered Sep 3, 2019 (4 days) · Affiliated broker-dealer or bank to independent RIA
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• to C•••••••• F••••••••• I•••left Oct 30, 2015, registered Oct 30, 2015 (0 days) · Other · moved with a team
- B••••••••• S••••••••• C••••••••• to J• P• T••••• • C•••••• C•••••• M••••••••• L••left Jul 12, 2007, registered Jul 11, 2007 (-1 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to B••••••••• S••••••••• C•••••••••left Dec 31, 2002, registered Jan 22, 2003 (22 days) · Other
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
- Independent wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address