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••••••
- O••••••• B•• W••••• P••••••• independent RIA currentsince Jun 27, 2022 · Houston, Tx
- P•••••• A•••••• G••••• L•• BD affiliatedSep 16, 2020 to Jul 20, 2022 · Morristown, Nj
- N••••••••• M••••• W••••• M••••••••• C•••••• unclassifiedApr 29, 2003 to Apr 4, 2006 · Milwaukee, Wi
- P•••••• A•••••• G••••• L•• to O••••••• B•• W••••• P•••••••left Jul 20, 2022, registered Jun 27, 2022 (-23 days) · corporate re-registration, not a move
- N••••••••• M••••• W••••• M••••••••• C•••••• to P•••••• A•••••• G••••• L••left Apr 4, 2006, registered Sep 16, 2020 (5279 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
- Independent wealth managerderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address