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••• P•••••• W•••••
- M••••• S•••••• wirehouse currentsince Aug 17, 2023 · Palm Desert, Ca
- R•• C•••••• M••••••• L•• national BDAug 26, 2011 to Sep 6, 2023 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Aug 29, 2011 · Palm Springs, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedApr 30, 2008 to Oct 23, 2009 · Riverside, Ca
- C•••• I••••••••• S••••••• C•••• formerMar 15, 2006 to Apr 30, 2008 · Lake Side, Az
- T•• J•••• S••••• G••••• I••• unclassifiedDec 3, 2002 to Dec 31, 2003 · Austin, Tx
- A• G• E•••••• • S•••• I••• unclassifiedFeb 26, 2002 to May 31, 2002 · Westlake Village, Ca
- R•• C•••••• M••••••• L•• to M••••• S••••••left Sep 6, 2023, registered Aug 17, 2023 (-20 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 29, 2011, registered Aug 26, 2011 (-3 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
- C•••• I••••••••• S••••••• C•••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Apr 30, 2008, registered Apr 30, 2008 (0 days) · Other
- T•• J•••• S••••• G••••• I••• to C•••• I••••••••• S••••••• C••••left Dec 31, 2003, registered Mar 15, 2006 (805 days) · Other
- A• G• E•••••• • S•••• I••• to T•• J•••• S••••• G••••• I•••left May 31, 2002, registered Dec 3, 2002 (186 days) · Other
- R••• P•••••• W••••• left R•• C•••••• M••••••• L•• for M••••• S•••••• (registered 2023-08-17)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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address