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•••••• W•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 3, 2023 · Dallas, Tx
- C••••••• S••••••••• formerApr 19, 2021 to Nov 3, 2023 · Dallas, Tx
- B••• S••••••••• L•• formerJan 2, 2018 to Nov 5, 2020 · Dallas, Tx
- B••• I••••••••• S•••••••• I••• formerMar 6, 2013 to Jan 2, 2018 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Jun 26, 2012 · Sarasota, Fl
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMay 16, 2003 to Oct 23, 2009 · Naples, Fl
- M••••• S•••••• D• I••• unclassifiedNov 28, 2001 to May 19, 2003 · Stillwater, Ok
- C••••••• S••••••••• to A••••••••• F•••••••• S•••••••• L••left Nov 3, 2023, registered Nov 3, 2023 (0 days) · corporate re-registration, not a move
- B••• S••••••••• L•• to C••••••• S•••••••••left Nov 5, 2020, registered Apr 19, 2021 (165 days) · Other
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• I••••••••• S•••••••• I•••left Jun 26, 2012, registered Mar 6, 2013 (253 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left May 19, 2003, registered May 16, 2003 (-3 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address