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.
P•••••• J••••• C•••••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 13, 2020 · Mckinney, Tx
- W••••••• F•••••••• S•••••••• I••• formerDec 10, 2015 to Jan 17, 2020 · Mckinney, Tx
- O•••• F•• I••• formerJan 10, 2008 to Sep 19, 2011 · Mckinney, Tx
- O•••• F•• I••• formerMar 2, 2005 to Dec 11, 2015 · Mckinney, Tx
- O•••• F•• I••• formerAug 3, 2000 to Feb 9, 2005 · Mckinney, Tx
- W••••••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Jan 17, 2020, registered Jan 13, 2020 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
- O•••• F•• I••• to O•••• F•• I•••left Dec 11, 2015, registered Jan 10, 2008 (-2892 days) · Other
- O•••• F•• I••• to W••••••• F•••••••• S•••••••• I•••left Sep 19, 2011, registered Dec 10, 2015 (1543 days) · Other
- O•••• F•• I••• to O•••• F•• I•••left Feb 9, 2005, registered Mar 2, 2005 (21 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address