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••• E••••
- D••••• W••••• M••••••••• L•• state registered currentsince May 22, 2018 · Palm D•••••, Ca
- A•••• W••••• M••••••••• L•• formerJul 22, 2011 to May 17, 2018 · San Jacinto, Ca
- W•••••• S••••••••• I••• BD affiliatedMar 17, 2010 to Jul 27, 2011 · Indian Wells, Ca
- S•••••••• A••••••• L•• national BDMar 24, 2005 to Nov 28, 2005 · Palm D•••••, Ca
- A•••• W••••• M••••••••• L•• to D••••• W••••• M••••••••• L••left May 17, 2018, registered May 22, 2018 (5 days) · Other
- W•••••• S••••••••• I••• to A•••• W••••• M••••••••• L••left Jul 27, 2011, registered Jul 22, 2011 (-5 days) · Other
- S•••••••• A••••••• L•• to W•••••• S••••••••• I•••left Nov 28, 2005, registered Mar 17, 2010 (1570 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
- STATE REGISTEREDderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address