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.
B•••• K• J••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Apr 5, 2023 · Plano, Tx
- P•••••••• A••••••• national BDJun 28, 2022 to Apr 5, 2023 · Dallas, Tx
- A•••••• A••••••• S••••••• formerOct 27, 2016 to May 3, 2021 · Richardson, Tx
- G••••••••• W••••• A••••••• independent RIASep 11, 2013 to Oct 27, 2014 · Richardson, Tx
- P••• A••••• S••••••••• L•• BD affiliatedDec 15, 2009 to Jan 25, 2012 · Addison, Tx
- P•••••••• S••••••••• I••• BD affiliatedDec 13, 2007 to Nov 6, 2009 · Richardson, Tx
- P•••••••• A••••••• to J••• M••••• S••••••••• L••left Apr 5, 2023, registered Apr 5, 2023 (0 days) · Affiliated broker-dealer or bank to wirehouse
- A•••••• A••••••• S••••••• to P•••••••• A•••••••left May 3, 2021, registered Jun 28, 2022 (421 days) · Affiliated broker-dealer or bank to another
- G••••••••• W••••• A••••••• to A•••••• A••••••• S•••••••left Oct 27, 2014, registered Oct 27, 2016 (731 days) · Other
- P••• A••••• S••••••••• L•• to G••••••••• W••••• A•••••••left Jan 25, 2012, registered Sep 11, 2013 (595 days) · Other
- P•••••••• S••••••••• I••• to P••• A••••• S••••••••• L••left Nov 6, 2009, registered Dec 15, 2009 (39 days) · Other
- B•••• K• J•••• left P•••••••• A••••••• for J••• M••••• S••••••••• L•• (registered 2023-04-05)Apr 5, 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address