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•••• R••••• E••••••
- E••••• J•••• national BD currentsince Mar 6, 2020 · Plano, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 9, 2020 · Boston, Ma
- F••••••• P••••••• T•••• C••••••• F•• unclassifiedApr 26, 2005 to Mar 28, 2007 · Westlake, Tx
- S•••••••• A••••••• L•• national BDJan 23, 2004 to Jul 13, 2018 · Houston, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• to E••••• J••••left Mar 9, 2020, registered Mar 6, 2020 (-3 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to F••••••• P••••••• T•••• C••••••• F••left Jul 13, 2018, registered Apr 26, 2005 (-4826 days) · Other · moved with a team
- F••••••• P••••••• T•••• C••••••• F•• to F••••••• P••••••• A•• W•••••••• A•••••••left Mar 28, 2007, registered Jul 13, 2018 (4125 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