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•••• M••••
- R•• C•••••• M••••••• L•• national BD currentsince May 11, 2018 · Frisco, Tx
- M••••• S•••••• wirehouseOct 14, 2011 to May 14, 2018 · Plano, Tx
- C••••••• W••••• • C•• formerFeb 16, 2011 to Jul 18, 2011 · Newport Beach, Ca
- M••••• S•••••• to R•• C•••••• M••••••• L••left May 14, 2018, registered May 11, 2018 (-3 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C••••••• W••••• • C•• to M••••• S••••••left Jul 18, 2011, registered Oct 14, 2011 (88 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address