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••• C• P•••••••
- K••••••• P•••••• W••••• independent RIA currentsince Nov 2, 2022 · Palm Desert, Ca
- M•••••• A•••••• N•••••• BD affiliatedAug 3, 2020 to Nov 4, 2022 · Rancho Mirage, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Aug 5, 2020 · Boston, Ma
- S•••••••• A••••••• L•• national BDAug 28, 2015 to Jul 13, 2018 · Palm Desert, Ca
- J••• M••••• S••••••••• L•• wirehouseJul 28, 2014 to Aug 25, 2015 · Palm Desert, Ca
- M•••••• A•••••• N•••••• to K••••••• P•••••• W•••••left Nov 4, 2022, registered Nov 2, 2022 (-2 days) · RIA to RIA
- F••••••• P••••••• A•• W•••••••• A••••••• to M•••••• A•••••• N••••••left Aug 5, 2020, registered Aug 3, 2020 (-2 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to S•••••••• A••••••• L••left Aug 25, 2015, registered Aug 28, 2015 (3 days) · Wirehouse to affiliated broker-dealer or bank
- J••• C• P••••••• left M•••••• A•••••• N•••••• for K••••••• P•••••• W••••• (registered 2022-11-02)Nov 4, 2022 · a•••••• firm change · 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
- Independent wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address