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.
E••••• J• M•••••••
- C•••••• S••••• • C••• I••• national BD currentsince Dec 20, 2022 · San Antonio, Tx
- E••••• J•••• national BDDec 22, 2016 to Dec 16, 2022 · San Antonio, Tx
- B••• I••••••••• S•••••••• I••• formerJun 3, 2015 to Sep 16, 2016 · Charlotte, Nc
- M••••••••• R••••••••• BD affiliatedJul 24, 2012 to May 21, 2015 · Washington, Dc
- F••••• I••••••••• independent RIAAug 15, 2011 to Jun 20, 2012 · Camas, Wa
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jun 21, 2011 · San Antonio, Tx
- W•••• F•••• I••••••••• L•• unclassifiedOct 17, 2006 to Jan 3, 2011 · San Antonio, Tx
- E••••• J•••• to C•••••• S••••• • C••• I•••left Dec 16, 2022, registered Dec 20, 2022 (4 days) · Affiliated broker-dealer or bank to another
- B••• I••••••••• S•••••••• I••• to E••••• J••••left Sep 16, 2016, registered Dec 22, 2016 (97 days) · Other
- M••••••••• R••••••••• to B••• I••••••••• S•••••••• I•••left May 21, 2015, registered Jun 3, 2015 (13 days) · Other
- F••••• I••••••••• to M••••••••• R•••••••••left Jun 20, 2012, registered Jul 24, 2012 (34 days) · Other
- W•••• F•••• A••••••• to F••••• I•••••••••left Jun 21, 2011, registered Aug 15, 2011 (55 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- E••••• J• M••••••• left E••••• J•••• for C•••••• S••••• • C••• I••• (registered 2022-12-20)Dec 16, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address