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•••• F••••••• S••••
- M•••••••• W••••• S••••••••• state registered currentsince Jun 20, 2012 · Plano, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedApr 9, 2009 to Jun 22, 2012 · Plano, Tx
- R•••••• J•••• • A••••••••• I••• national BDDec 6, 2005 to Apr 7, 2009 · Dallas, Tx
- U•• F•••••••• S••••••• I••• wirehouseAug 30, 1996 to Dec 5, 2005 · Addison, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M•••••••• W••••• S•••••••••left Jun 22, 2012, registered Jun 20, 2012 (-2 days) · Other
- R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Apr 7, 2009, registered Apr 9, 2009 (2 days) · Other
- U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left Dec 5, 2005, registered Dec 6, 2005 (1 days) · Wirehouse to affiliated broker-dealer or bank
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
- STATE REGISTEREDderived
- Years in industry
- 46derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address