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•••••• W•••• S•••••••
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · Round Rock, Tx
- S•••••••• F••••••••• I••• formerAug 1, 2014 to Sep 1, 2023 · Scottsdale, Az
- P•••• S••••••••• L•• no RAUMJul 15, 2014 to Jul 17, 2014 · Houston, Tx
- S•••••••• F••••••••• I••• formerSep 11, 2013 to Jun 4, 2014 · Scottsdale, Az
- L•• F•••••••• L•• BD affiliatedMay 26, 2011 to Oct 3, 2013 · Austin, Tx
- C••••• A••••••• G••••• I••• formerJun 14, 2010 to May 23, 2011 · Austin, Tx
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- P•••• S••••••••• L•• to S•••••••• F••••••••• I•••left Jul 17, 2014, registered Aug 1, 2014 (15 days) · Other
- S•••••••• F••••••••• I••• to P•••• S••••••••• L••left Jun 4, 2014, registered Jul 15, 2014 (41 days) · Other
- L•• F•••••••• L•• to S•••••••• F••••••••• I•••left Oct 3, 2013, registered Sep 11, 2013 (-22 days) · Other
- C••••• A••••••• G••••• I••• to L•• F•••••••• L••left May 23, 2011, registered May 26, 2011 (3 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address