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.
P••••• J••••• S•••••••
- S•••••••• A•••••••• L•• BD affiliated currentsince Jan 23, 2020 · Miami, Fl
- M•• I•••••••• S•••••••• L•• BD affiliatedSep 25, 2018 to Jan 17, 2020 · Austin, Tx
- S••• A••••••• S••••••• L•• C• mixed wealthSep 2, 2004 to Sep 2, 2008 · Austin, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 15, 1998 to Oct 29, 2002 · Austin, Tx
- M•• I•••••••• S•••••••• L•• to S•••••••• A•••••••• L••left Jan 17, 2020, registered Jan 23, 2020 (6 days) · Affiliated broker-dealer or bank to another
- S••• A••••••• S••••••• L•• C• to M•• I•••••••• S•••••••• L••left Sep 2, 2008, registered Sep 25, 2018 (3675 days) · Other
- C•••••••• G••••• M•••••• I••• to S••• A••••••• S••••••• L•• C•left Oct 29, 2002, registered Sep 2, 2004 (674 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address