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••• M••••• M•••••••
- C•••••• S••••• • C••• I••• national BD currentsince Sep 3, 2021 · Lone Tree, Co
- E••••• J•••• national BDAug 18, 2017 to Aug 9, 2021 · San Marcos, Tx
- U••• F•••••••• P••••••• S••••••• formerMay 14, 2007 to Aug 17, 2017 · Selma, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMSep 23, 2002 to Dec 31, 2007 · San Antonio, Tx
- E••••• J•••• to C•••••• S••••• • C••• I•••left Aug 9, 2021, registered Sep 3, 2021 (25 days) · Affiliated broker-dealer or bank to another
- U••• F•••••••• P••••••• S••••••• to E••••• J••••left Aug 17, 2017, registered Aug 18, 2017 (1 days) · Other
- U••• I••••••••• S••••••• C•••••• to U••• F•••••••• P••••••• S•••••••left Dec 31, 2007, registered May 14, 2007 (-231 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address