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.
P•••••• J••• L••••••
- H•••••• S••••••••• I••• BD affiliated currentsince Jul 15, 2021 · Austin, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerOct 31, 2014 to Jul 14, 2021 · Lakeway, Tx
- W•••• F•••• A••••••• wirehouseJun 7, 2013 to Aug 6, 2014 · Austin, Tx
- P•• M•••••• A•••••• S••••••••• I••• to H•••••• S••••••••• I•••left Jul 14, 2021, registered Jul 15, 2021 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to P•• M•••••• A•••••• S••••••••• I•••left Aug 6, 2014, registered Oct 31, 2014 (86 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address