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.
E••• M•••••• T••••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jun 14, 2021 · Stockton, Ca
- P•• M•••••• A•••••• S••••••••• I••• formerOct 15, 2010 to Jun 14, 2021 · Houston, Tx
- S• J•••• W••••• M••••••••• unclassifiedApr 8, 2010 to Oct 15, 2010 · Stockton, Ca
- C••••• I••••••••• S••••••• L•• formerSep 29, 2008 to Dec 23, 2009 · Stockton, Ca
- W•••••• • R••• formerMay 24, 2002 to Nov 20, 2003 · Lodi, Ca
- P•• M•••••• A•••••• S••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 14, 2021, registered Jun 14, 2021 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- S• J•••• W••••• M••••••••• to P•• M•••••• A•••••• S••••••••• I•••left Oct 15, 2010, registered Oct 15, 2010 (0 days) · corporate re-registration, not a move
- C••••• I••••••••• S••••••• L•• to S• J•••• W••••• M•••••••••left Dec 23, 2009, registered Apr 8, 2010 (106 days) · Other
- W•••••• • R••• to C••••• I••••••••• S••••••• L••left Nov 20, 2003, registered Sep 29, 2008 (1775 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address