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••• R•••••• H••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Charleston, Wv
- S••••• F•••••••• G•••• I•• formerSep 15, 2014 to May 20, 2021 · Charleston, Wv
- B•• P•••••••• I••• BD affiliatedNov 1, 2011 to Aug 29, 2014 · Charleston, Wv
- S••••••••• M••••••••• A•• R•••••••• I••• ••••••• formerJul 12, 2006 to Apr 30, 2012 · League City, Tx
- S••••• F•••••••• G•••• I•• to C••••• I••••••••• A••••••• L••left May 20, 2021, registered Jun 29, 2023 (770 days) · corporate re-registration, not a move
- B•• P•••••••• I••• to S••••• F•••••••• G•••• I••left Aug 29, 2014, registered Sep 15, 2014 (17 days) · Other
- S••••••••• M••••••••• A•• R•••••••• I••• ••••••• to B•• P•••••••• I•••left Apr 30, 2012, registered Nov 1, 2011 (-181 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address