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.
T••• B•••••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Apr 17, 2024 · Laguna Hills, Ca
- T• A••••••••• I••• formerMar 8, 2022 to Oct 14, 2022 · Albuquerque, Nm
- C•••••• S••••• • C••• I••• national BDJun 26, 2019 to Feb 5, 2024 · El Paso, Tx
- C•••••• S••••• • C••• I••• to T• A••••••••• I•••left Feb 5, 2024, registered Mar 8, 2022 (-699 days) · Other
- T• A••••••••• I••• to J••• M••••• S••••••••• L••left Oct 14, 2022, registered Apr 17, 2024 (551 days) · Other
- T••• B••••••••• left C•••••• S••••• • C••• I••• for T• A••••••••• I••• (registered 2022-03-08)Feb 5, 2024 · Advisor changed firm · fact
- T••• B••••••••• left T• A••••••••• I••• for J••• M••••• S••••••••• L•• (registered 2024-04-17)Oct 14, 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address