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.
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C••••••• H•••••••••
- M••••• S•••••• wirehouse currentsince Aug 16, 2023 · Palm Desert, Ca
- R•• C•••••• M••••••• L•• national BDAug 26, 2011 to Sep 6, 2023 · Palm Desert, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Aug 30, 2011 · Palm Desert, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedSep 8, 2006 to Oct 23, 2009 · Palm Desert, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 24, 2004 to Sep 13, 2006 · Indian Wells, Ca
- R•• C•••••• M••••••• L•• to M••••• S••••••left Sep 6, 2023, registered Aug 16, 2023 (-21 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••left Aug 30, 2011, registered Aug 26, 2011 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Sep 13, 2006, registered Sep 8, 2006 (-5 days) · Other
- C••••••• H••••••••• left R•• C•••••• M••••••• L•• for M••••• S•••••• (registered 2023-08-16)Sep 6, 2023 · 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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address