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.
R••••• J••••• A••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 14, 2017 · New Brighton, Mn
- J••• M••••• S••••••••• L•• wirehouseJul 29, 2016 to Jun 2, 2017 · Friendswood, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDSep 16, 2015 to Jan 13, 2016 · Webster, Tx
- O••• R•••• F•••••••• G••••• L•• formerJul 23, 2015 to Aug 28, 2015 · Waco, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDJan 8, 2015 to Jul 30, 2015 · Houston, Tx
- L•• F•••••••• L•• BD affiliatedJan 14, 2013 to Jul 1, 2014 · Lake Jackson, Tx
- P••• C••••••• P••••••• independent RIAApr 13, 2012 to Jan 2, 2013 · Houston, Tx
- J••• M••••• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jun 2, 2017, registered Jun 14, 2017 (12 days) · Wirehouse to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to J••• M••••• S••••••••• L••left Jan 13, 2016, registered Jul 29, 2016 (198 days) · Affiliated broker-dealer or bank to wirehouse
- O••• R•••• F•••••••• G••••• L•• to A••••••••• F•••••••• S•••••••• L••left Aug 28, 2015, registered Sep 16, 2015 (19 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to O••• R•••• F•••••••• G••••• L••left Jul 30, 2015, registered Jul 23, 2015 (-7 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jul 1, 2014, registered Jan 8, 2015 (191 days) · Other
- P••• C••••••• P••••••• to L•• F•••••••• L••left Jan 2, 2013, registered Jan 14, 2013 (12 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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address