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•••• P• D••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 30, 2021 · Hurst, Tx
- C••••• A•••••• N••••••• L•• formerNov 1, 2017 to Nov 13, 2017 · Irving, Tx
- U••••• C•••••• F•••••••• A••••••• independent RIAOct 21, 2011 to Oct 28, 2021 · Irving, Tx
- G••••• S••••••••• I••• formerOct 21, 2011 to Nov 1, 2017 · Irving, Tx
- L•• F•••••••• L•• BD affiliatedAug 23, 2006 to Nov 7, 2011 · Irving, Tx
- U••••• C•••••• F•••••••• A••••••• to C••••• A•••••• N••••••• L••left Oct 28, 2021, registered Nov 1, 2017 (-1457 days) · Other
- C••••• A•••••• N••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Nov 13, 2017, registered Sep 30, 2021 (1417 days) · Other
- G••••• S••••••••• I••• to U••••• C•••••• F•••••••• A•••••••left Nov 1, 2017, registered Oct 21, 2011 (-2203 days) · Other · moved with a team
- L•• F•••••••• L•• to G••••• S••••••••• I•••left Nov 7, 2011, registered Oct 21, 2011 (-17 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address