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.
D••••• B•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 16, 2023 · The Woodlands, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMar 19, 2014 to Oct 19, 2023 · The Woodlands, Tx
- O••••••••• • C•• I••• BD affiliatedFeb 3, 2009 to Mar 14, 2014 · The Woodlands, Tx
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Feb 2, 2009 · Jericho, Ny
- M••••• S•••••• D• I••• unclassifiedSep 20, 2005 to Apr 2, 2007 · Jericho, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 21, 2004 to Jan 13, 2005 · Great Neck, Ny
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to A••••••••• F•••••••• S•••••••• L••left Oct 19, 2023, registered Oct 16, 2023 (-3 days) · Affiliated broker-dealer or bank to another
- O••••••••• • C•• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Mar 14, 2014, registered Mar 19, 2014 (5 days) · Other
- M••••• S•••••• • C•• L•• to O••••••••• • C•• I•••left Feb 2, 2009, registered Feb 3, 2009 (1 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• D• I•••left Jan 13, 2005, registered Sep 20, 2005 (250 days) · Other
- D••••• B••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-10-16)Oct 19, 2023 · Advisor changed firm · fact
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address