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••• H••••• S••••
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince May 19, 2023 · Richmond, Va
- R•••••• J•••• • A••••••••• I••• national BDFeb 15, 2022 to Apr 17, 2023 · New Orleans, La
- H•••••• W•••••• I••••••••• S••••••• I••• independent RIAMar 18, 2019 to Jan 26, 2022 · New Orleans, La
- P••• A••••• S••••••••• L•• BD affiliatedJul 11, 2007 to Apr 3, 2019 · Raleigh, Nc
- M••••• S•••••• D• I••• unclassifiedJan 6, 2005 to Dec 5, 2006 · Raleigh, Nc
- R•••••• J•••• • A••••••••• I••• to N••••••••• M••••• I••••••••• S•••••••••left Apr 17, 2023, registered May 19, 2023 (32 days) · Other
- H•••••• W•••••• I••••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left Jan 26, 2022, registered Feb 15, 2022 (20 days) · Affiliated broker-dealer or bank to another
- P••• A••••• S••••••••• L•• to H•••••• W•••••• I••••••••• S••••••• I•••left Apr 3, 2019, registered Mar 18, 2019 (-16 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• D• I••• to P••• A••••• S••••••••• L••left Dec 5, 2006, registered Jul 11, 2007 (218 days) · Other
- J••• H••••• S•••• left R•••••• J•••• • A••••••••• I••• for N••••••••• M••••• I••••••••• S••••••••• (registered 2023-05-19)Apr 17, 2023 · Advisor changed firm · fact
- J••• H••••• S•••• left H•••••• W•••••• I••••••••• S••••••• I••• for R•••••• J•••• • A••••••••• I••• (registered 2022-02-15)Jan 26, 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
- No RAUM reportedderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address