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.
S•••• B•••••
- P•• W••••• M••••••••• BD affiliated currentsince Oct 28, 2022 · Palm Springs, Ca
- J••• M••••• S••••••••• L•• wirehouseApr 6, 2021 to Sep 13, 2022 · Palm Springs, Ca
- P•••• S••••••••• L•• no RAUMJun 7, 2019 to Feb 26, 2021 · El Segundo, Ca
- T• A••••••••• I••• formerDec 4, 2013 to Jan 23, 2019 · Indian Wells, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerDec 4, 2013 to Jan 23, 2019 · Indian W••••, Ca
- V•••• F•••••••• A•••••••• I••• BD affiliatedJun 23, 2009 to Nov 21, 2013 · Glendale, Ca
- W•••• F•••• A••••••• wirehouseMay 29, 2008 to Feb 3, 2009 · Los Angeles, Ca
- E••••• J•••• national BDJan 22, 2007 to Apr 14, 2008 · St Louis, Mo
- W•••••• • R••• formerDec 14, 2006 to Jan 24, 2007 · Riverside, Ca
- W••• I••••••••• I••• unclassifiedAug 22, 2006 to Oct 27, 2006 · San Diego, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJul 13, 2005 to May 12, 2006 · Palm Springs, Ca
- W•••• F•••• I••••••••• L•• unclassifiedDec 2, 2004 to Jun 9, 2005 · Palm Springs, Ca
- J••• M••••• S••••••••• L•• to P•• W••••• M•••••••••left Sep 13, 2022, registered Oct 28, 2022 (45 days) · Wirehouse to affiliated broker-dealer or bank
- P•••• S••••••••• L•• to J••• M••••• S••••••••• L••left Feb 26, 2021, registered Apr 6, 2021 (39 days) · Affiliated broker-dealer or bank to wirehouse
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jan 23, 2019, registered Dec 4, 2013 (-1876 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 23, 2019, registered Dec 4, 2013 (-1876 days) · Other
- V•••• F•••••••• A•••••••• I••• to T• A••••••••• I•••left Nov 21, 2013, registered Dec 4, 2013 (13 days) · Other
- W•••• F•••• A••••••• to V•••• F•••••••• A•••••••• I•••left Feb 3, 2009, registered Jun 23, 2009 (140 days) · Other
- E••••• J•••• to W•••• F•••• A•••••••left Apr 14, 2008, registered May 29, 2008 (45 days) · Affiliated broker-dealer or bank to wirehouse
- W•••••• • R••• to E••••• J••••left Jan 24, 2007, registered Jan 22, 2007 (-2 days) · Other
- W••• I••••••••• I••• to W•••••• • R•••left Oct 27, 2006, registered Dec 14, 2006 (48 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to W••• I••••••••• I•••left May 12, 2006, registered Aug 22, 2006 (102 days) · Other
- W•••• F•••• I••••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jun 9, 2005, registered Jul 13, 2005 (34 days) · Other
- S•••• B••••• left J••• M••••• S••••••••• L•• for P•• W••••• M••••••••• (registered 2022-10-28)Sep 13, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address