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.
L•• S•••• B••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 24, 2023 · Jersey City, Nj
- P•• W••••• M••••••••• BD affiliatedSep 22, 2021 to Jan 20, 2023 · Houston, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerJun 1, 2021 to Sep 20, 2021 · Houston, Tx
- E•••••••• A•••••••• L•• national BDDec 10, 2001 to Mar 28, 2005 · Chicago, Il
- P•• W••••• M••••••••• to J••• M••••• S••••••••• L••left Jan 20, 2023, registered Mar 24, 2023 (63 days) · Affiliated broker-dealer or bank to wirehouse
- P•• M•••••• A•••••• S••••••••• I••• to P•• W••••• M•••••••••left Sep 20, 2021, registered Sep 22, 2021 (2 days) · Affiliated broker-dealer or bank to another · moved with a team
- E•••••••• A•••••••• L•• to P•• M•••••• A•••••• S••••••••• I•••left Mar 28, 2005, registered Jun 1, 2021 (5909 days) · Affiliated broker-dealer or bank to another
- L•• S•••• B•••••• left P•• W••••• M••••••••• for J••• M••••• S••••••••• L•• (registered 2023-03-24)Jan 20, 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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address