RS
RS
Rupesh Shah is a registered investment advisor at Morgan Stanley, based in Palo Alto, CA, with 29 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
Loading...
Location
1400 Page Mill Road, Palo Alto, CA, 94304
Get directionsHistory
Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
October 2008Denied
Customer Dispute
June 2008Settled
Customer Dispute
March 2008Settled
Other Business Activities
Rupesh acts as a conservator in Concord, CA, since June 2019, which is not investment-related. This takes minimal time during and after business hours.
Employment History
Current Registrations
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Citigroup Global Markets INC.Broker
September 2007 - June 2009 · 1 yr 9 mos
Citigroup Global Markets INC.
September 2007 - June 2009 · 1 yr 9 mos
Charles Schwab & CO., INC.
November 1999 - September 2007 · 7 yrs 10 mos
Charles Schwab & CO., INC.Broker
July 1999 - September 2007 · 8 yrs 2 mos
Fidelity Brokerage Services, INC.Broker
March 1998 - June 1999 · 1 yr 3 mos
Essex National Securities, INC.Broker
May 1997 - February 1998 · 9 mos
Sunamerica Securities, INC.Broker
January 1997 - May 1997 · 4 mos
State Registrations41 states
AKALAZCACOCTDEFLGAHIIDILINKYMAMDMEMIMNMOMSMTNCNHNJNMNVNYOHOKORPASCTNTXUTVAVTWAWIWY
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.