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••• A•••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 9, 2022 · West Bastrop, Tx
- W•••• F•••• A••••••• wirehouseJun 5, 2018 to Oct 18, 2022 · Austin, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerJun 18, 2014 to Jun 4, 2018 · Lubbock, Tx
- C••••••• I••••••••• S••••••• unclassifiedMar 13, 2003 to Nov 25, 2003 · Las Vegas, Nv
- M••••• S•••••• D• I••• unclassifiedSep 4, 2002 to Feb 27, 2003 · Las Vegas, Nv
- W•••• F•••• A••••••• to L•• F•••••••• L••left Oct 18, 2022, registered Dec 9, 2022 (52 days) · Wirehouse to independent RIA · moved with a team
- P•• M•••••• A•••••• S••••••••• I••• to W•••• F•••• A•••••••left Jun 4, 2018, registered Jun 5, 2018 (1 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- C••••••• I••••••••• S••••••• to P•• M•••••• A•••••• S••••••••• I•••left Nov 25, 2003, registered Jun 18, 2014 (3858 days) · Other
- M••••• S•••••• D• I••• to C••••••• I••••••••• S•••••••left Feb 27, 2003, registered Mar 13, 2003 (14 days) · Other
- J•• M••• A••••• left W•••• F•••• A••••••• for L•• F•••••••• L•• (registered 2022-12-09)Oct 18, 2022 · 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
- 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