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••• G•••••••
- W•••••• S••••••••• I••• BD affiliated currentsince Feb 2, 2016 · Pasadena, Ca
- W•••• F•••• A••••••• wirehouseNov 10, 2011 to Feb 4, 2016 · Palm Desert, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Dec 2, 2011 · Indian W••••, Ca
- M••••• S•••••• • C•• L•• unclassifiedOct 26, 2007 to Jun 1, 2009 · Palm Desert, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 20, 2003 to Oct 29, 2007 · Indian W••••, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 8, 1997 to Jul 2, 2003 · Palm Desert, Ca
- W•••• F•••• A••••••• to W•••••• S••••••••• I•••left Feb 4, 2016, registered Feb 2, 2016 (-2 days) · Other
- M••••• S•••••• to W•••• F•••• A•••••••left Dec 2, 2011, registered Nov 10, 2011 (-22 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•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Oct 29, 2007, registered Oct 26, 2007 (-3 days) · Other
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 2, 2003, registered Jun 20, 2003 (-12 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address