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•••• D•••••• M•••••••
- P•• W••••• M••••••••• BD affiliated currentsince Jun 4, 2021 · Austin, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerJan 17, 2020 to Jun 1, 2021 · Austin, Tx
- B••• S••••••••• L•• formerJan 2, 2018 to Jan 17, 2020 · Austin, Tx
- B••• I••••••••• S•••••••• I••• formerApr 6, 2015 to Jan 2, 2018 · Austin, Tx
- C••• F•••••••• S•••••••• L••• formerJan 21, 2015 to Apr 2, 2015 · Austin, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerNov 4, 2010 to Jan 15, 2015 · Sugarland, Tx
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Oct 14, 2009 · Orlando, Fl
- W••• I••••••••• I••• unclassifiedApr 30, 2009 to May 2, 2009 · Orlando, Fl
- W••• I••••••••• I••• unclassifiedApr 9, 2007 to Feb 28, 2008 · Cave Creek, Az
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Apr 11, 2007 · Phoenix, Az
- B••• O•• S••••••••• C••••••••• unclassifiedFeb 5, 2001 to Jul 6, 2005 · Sun City West, Az
- P•• M•••••• A•••••• S••••••••• I••• to P•• W••••• M•••••••••left Jun 1, 2021, registered Jun 4, 2021 (3 days) · Affiliated broker-dealer or bank to another · moved with a team
- B••• S••••••••• L•• to P•• M•••••• A•••••• S••••••••• I•••left Jan 17, 2020, registered Jan 17, 2020 (0 days) · Affiliated broker-dealer or bank to another
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- C••• F•••••••• S•••••••• L••• to B••• I••••••••• S•••••••• I•••left Apr 2, 2015, registered Apr 6, 2015 (4 days) · Other
- P•• M•••••• A•••••• S••••••••• I••• to C••• F•••••••• S•••••••• L•••left Jan 15, 2015, registered Jan 21, 2015 (6 days) · Other
- C•••• I••••••••• S••••••• C•••• to P•• M•••••• A•••••• S••••••••• I•••left Oct 14, 2009, registered Nov 4, 2010 (386 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to W••• I••••••••• I•••left Apr 11, 2007, registered Apr 9, 2007 (-2 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address