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.
M••• S••••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 2, 2021 · Plano, Tx
- A••••• A•• P••••••• S••••••• BD affiliatedOct 8, 2020 to Jan 14, 2021 · Frisco, Tx
- J••• M••••• S••••••••• L•• wirehouseSep 18, 2018 to Sep 4, 2020 · Plano, Tx
- P•••••••• I••••••••• I••• formerJan 13, 2006 to Jun 11, 2007 · Dallas, Tx
- L••• M•••• W••• W•••••• I••••••••• unclassifiedSep 6, 2002 to Sep 13, 2005 · Baltimore, Md
- W•••• F•••• A••••••• wirehouseFeb 14, 2000 to Aug 14, 2002 · Richmond, Va
- A••••• A•• P••••••• S••••••• to J••• M••••• S••••••••• L••left Jan 14, 2021, registered Mar 2, 2021 (47 days) · Affiliated broker-dealer or bank to wirehouse
- J••• M••••• S••••••••• L•• to A••••• A•• P••••••• S•••••••left Sep 4, 2020, registered Oct 8, 2020 (34 days) · Wirehouse to affiliated broker-dealer or bank
- P•••••••• I••••••••• I••• to J••• M••••• S••••••••• L••left Jun 11, 2007, registered Sep 18, 2018 (4117 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to P•••••••• I••••••••• I•••left Sep 13, 2005, registered Jan 13, 2006 (122 days) · Other
- W•••• F•••• A••••••• to L••• M•••• W••• W•••••• I•••••••••left Aug 14, 2002, registered Sep 6, 2002 (23 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
- Wirehousederived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address