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••• B•••• L••
- L•• F•••••••• L•• BD affiliated currentsince Aug 11, 2021 · Fort Worth, Tx
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJun 7, 2012 to Aug 25, 2021 · Ft Worth, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedSep 10, 2010 to Jun 14, 2012 · Fort Worth, Tx
- N••••••••• M••••• W••••• M••••••••• C•••••• unclassifiedApr 5, 2005 to Apr 30, 2007 · Milwaukee, Wi
- N••••••••• M••••• I••••••••• S••••••••• no RAUMFeb 11, 2005 to Sep 17, 2010 · Fort Worth, Tx
- M••••• S•••••• D• I••• unclassifiedNov 8, 2001 to Jul 26, 2002 · Ft Worth, Tx
- C•••••••• I••••••••• R••••••• A•••••••• I••• to L•• F•••••••• L••left Aug 25, 2021, registered Aug 11, 2021 (-14 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•• I•••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jun 14, 2012, registered Jun 7, 2012 (-7 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to N••••••••• M••••• W••••• M••••••••• C••••••left Sep 17, 2010, registered Apr 5, 2005 (-1991 days) · Other
- N••••••••• M••••• W••••• M••••••••• C•••••• to M•• I•••••••• S•••••••• L••left Apr 30, 2007, registered Sep 10, 2010 (1229 days) · Other
- M••••• S•••••• D• I••• to N••••••••• M••••• I••••••••• S•••••••••left Jul 26, 2002, registered Feb 11, 2005 (931 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address