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•••••• P••••••
- C••••••• P••••••• independent RIA currentsince Apr 26, 2023 · Overland Park, Ks
- A••••••• F••••••••• L••• BD affiliatedJan 7, 2020 to Apr 21, 2023 · Sacramento, Ca
- R•• formerSep 29, 2014 to Jan 7, 2020 · Addison, Tx
- S•••••••• A••••••• L•• national BDAug 19, 2004 to Sep 17, 2014 · Westlake, Tx
- B••• O•• S••••••••• C••••••••• unclassifiedOct 3, 2003 to Jul 28, 2004 · Dallas, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDJul 14, 2003 to Aug 27, 2003 · Allentown, Pa
- A••••••• F••••••••• L••• to C••••••• P•••••••left Apr 21, 2023, registered Apr 26, 2023 (5 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- R•• to A••••••• F••••••••• L•••left Jan 7, 2020, registered Jan 7, 2020 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to R••left Sep 17, 2014, registered Sep 29, 2014 (12 days) · Other
- B••• O•• S••••••••• C••••••••• to S•••••••• A••••••• L••left Jul 28, 2004, registered Aug 19, 2004 (22 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to B••• O•• S••••••••• C•••••••••left Aug 27, 2003, registered Oct 3, 2003 (37 days) · Other
- J••••• M•••••• P•••••• left A••••••• F••••••••• L••• for C••••••• P••••••• (registered 2023-04-26)Apr 21, 2023 · Advisor changed firm · fact
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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address