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•••• L••• W•••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 17, 2021 · The Woodlands, Tx
- O••••••••• • C•• I••• BD affiliatedFeb 1, 2012 to Nov 19, 2021 · The Woodlands, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 5, 2007 to Feb 9, 2012 · The Woodlands, Tx
- U•• F•••••••• S••••••• I••• wirehouseNov 9, 2001 to Oct 16, 2007 · The Woodlands, Tx
- O••••••••• • C•• I••• to A••••••••• F•••••••• S•••••••• L••left Nov 19, 2021, registered Nov 17, 2021 (-2 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O••••••••• • C•• I•••left Feb 9, 2012, registered Feb 1, 2012 (-8 days) · Other
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 16, 2007, registered Oct 5, 2007 (-11 days) · Wirehouse to wirehouse
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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address