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•• S•••• B••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Sep 30, 2021 · Midland, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 6, 2005 to Oct 5, 2021 · Midland, Tx
- H•••••• S••••••••• I••• BD affiliatedMar 28, 2003 to May 10, 2005 · Austin, Tx
- U•• F•••••••• S••••••• I••• wirehouseFeb 16, 2001 to Apr 16, 2003 · Austin, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Oct 5, 2021, registered Sep 30, 2021 (-5 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- H•••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 10, 2005, registered May 6, 2005 (-4 days) · Other
- U•• F•••••••• S••••••• I••• to H•••••• S••••••••• I•••left Apr 16, 2003, registered Mar 28, 2003 (-19 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
- National broker-dealer RIAderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address