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.
S••••• J•• C••••••
- O•••• W•••••• I••• BD affiliated currentsince Nov 3, 2023 · Dallas, Tx
- F•• S••••••••• C••••••••• formerApr 18, 2019 to Nov 3, 2023 · Atlanta, Ga
- C•••••• F•••••••• S•••••••• I••• formerJan 29, 2016 to Apr 18, 2019 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 3, 2002 to Nov 22, 2004 · Dallas, Tx
- F•• S••••••••• C••••••••• to O•••• W•••••• I•••left Nov 3, 2023, registered Nov 3, 2023 (0 days) · corporate re-registration, not a move
- C•••••• F•••••••• S•••••••• I••• to F•• S••••••••• C•••••••••left Apr 18, 2019, registered Apr 18, 2019 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• F•••••••• S•••••••• I•••left Nov 22, 2004, registered Jan 29, 2016 (4085 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address