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••• L•• H••••
- M• P•••••• P••••••• independent RIA currentsince Jul 17, 2017 · Indian Wells, Ca
- I••••••••• W••••• M••••••••• I••• formerJan 25, 2010 to Dec 31, 2017 · Marina Del Rey, Ca
- I••••••••• W••••• M••••••••• I••• formerAug 28, 2009 to Dec 31, 2009 · Palm Desert, Ca
- U•• F•••••••• S••••••• I••• wirehouseMar 30, 1998 to Aug 18, 2009 · Palm Desert, Ca
- I••••••••• W••••• M••••••••• I••• to M• P•••••• P•••••••left Dec 31, 2017, registered Jul 17, 2017 (-167 days) · Other · moved with a team
- U•• F•••••••• S••••••• I••• to I••••••••• W••••• M••••••••• I•••left Aug 18, 2009, registered Aug 28, 2009 (10 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address