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.
M••••• R••• E•••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jan 17, 2020 · Austin, Tx
- P•• S••••••• C•••••• M••••••••• L•• independent RIAMay 23, 2016 to Jan 3, 2020 · Austin, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 30, 2014 to May 31, 2016 · Austin, Tx
- C•••••• S••••• • C••• I••• national BDJul 5, 2006 to Mar 31, 2014 · San Francisco, Ca
- P•• S••••••• C•••••• M••••••••• L•• to J••• M••••• S••••••••• L••left Jan 3, 2020, registered Jan 17, 2020 (14 days) · RIA to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• S••••••• C•••••• M••••••••• L••left May 31, 2016, registered May 23, 2016 (-8 days) · Other
- C•••••• S••••• • C••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 31, 2014, registered Apr 30, 2014 (30 days) · Affiliated broker-dealer or bank to wirehouse
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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address