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•••••• L•••
- M•• S••••••••• L•• no RAUM currentsince Jul 28, 2023 · Dallas, Tx
- S••••••• F•••••••• S•••••••• I••• formerOct 15, 2008 to Aug 3, 2010 · Dallas, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedJul 11, 2006 to Dec 3, 2008 · Dallas, Tx
- S••••• S••••••••• I••• independent RIAJan 1, 2004 to Sep 17, 2004 · Dallas, Tx
- S••••••• F•••••••• S•••••••• I••• to M•• S••••••••• L••left Aug 3, 2010, registered Jul 28, 2023 (4742 days) · Other
- M•• I•••••••• S•••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Dec 3, 2008, registered Oct 15, 2008 (-49 days) · Other
- S••••• S••••••••• I••• to M•• I•••••••• S•••••••• L••left Sep 17, 2004, registered Jul 11, 2006 (662 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
- No RAUM reportedderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address