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•••• S•••• C•••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 7, 2022 · Plano, Tx
- M••••• S•••••• wirehouseSep 30, 2020 to Aug 30, 2022 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Aug 31, 2020 · Dallas, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJun 25, 2003 to Oct 23, 2009 · Charlotte, Nc
- D••••••• B••• S••••••••• I••• no RAUMJan 13, 2001 to Aug 26, 2002 · Houston, Tx
- B••• O• A•••••• S••••••••• L•• unclassifiedDec 31, 1997 to Jun 27, 2003 · Dallas, Tx
- M••••• S•••••• to J••• M••••• S••••••••• L••left Aug 30, 2022, registered Oct 7, 2022 (38 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Aug 31, 2020, registered Sep 30, 2020 (30 days) · Wirehouse to wirehouse
- 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
- B••• O• A•••••• S••••••••• L•• to D••••••• B••• S••••••••• I•••left Jun 27, 2003, registered Jan 13, 2001 (-895 days) · Other
- D••••••• B••• S••••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Aug 26, 2002, registered Jun 25, 2003 (303 days) · Other
- J•••• S•••• C••••••• left M••••• S•••••• for J••• M••••• S••••••••• L•• (registered 2022-10-07)Aug 30, 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
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address