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•••• R••••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 27, 2023 · Dallas, Tx
- P•••• S••••••••• L•• no RAUMJul 25, 2018 to Feb 16, 2023 · Plano, Tx
- A••••••• R••••••• G••••• L•• unclassifiedApr 20, 2001 to Oct 28, 2009 · Bellevue, Wa
- H•••••• T••••••• • K•••• L•• independent RIAFeb 4, 2000 to Apr 30, 2018 · Bellevue, Wa
- P•••• S••••••••• L•• to O•••• W•••••• I•••left Feb 16, 2023, registered Jan 27, 2023 (-20 days) · Affiliated broker-dealer or bank to another
- H•••••• T••••••• • K•••• L•• to A••••••• R••••••• G••••• L••left Apr 30, 2018, registered Apr 20, 2001 (-6219 days) · Other
- A••••••• R••••••• G••••• L•• to P•••• S••••••••• L••left Oct 28, 2009, registered Jul 25, 2018 (3192 days) · Other
- J••••• R•••• R•••••• left P•••• S••••••••• L•• for O•••• W•••••• I••• (registered 2023-01-27)Feb 16, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address