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.
- E••••• J•••• national BD currentsince Mar 31, 2023 · Houston, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2020 to Apr 5, 2023 · Houston, Tx
- L•• F•••••••• L•• BD affiliatedOct 24, 2019 to Jul 14, 2020 · Fort Mill, Sc
- J••• H•••••• I••••••••• M••••••••• L•• asset managerNov 8, 2018 to Mar 29, 2019 · Boston, Ma
- M••••••• I••••••••• M••••••••• ••• L•• asset managerNov 14, 2017 to Nov 8, 2018 · Spring, Tx
- S••••••• I••••••••• I••• formerMay 14, 2013 to Dec 31, 2014 · Boston, Ma
- F••••••• P••••••• A•• W•••••••• A••••••• to E••••• J••••left Apr 5, 2023, registered Mar 31, 2023 (-5 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 14, 2020, registered Jul 13, 2020 (-1 days) · Affiliated broker-dealer or bank to another
- J••• H•••••• I••••••••• M••••••••• L•• to L•• F•••••••• L••left Mar 29, 2019, registered Oct 24, 2019 (209 days) · Other
- M••••••• I••••••••• M••••••••• ••• L•• to J••• H•••••• I••••••••• M••••••••• L••left Nov 8, 2018, registered Nov 8, 2018 (0 days) · corporate re-registration, not a move
- S••••••• I••••••••• I••• to M••••••• I••••••••• M••••••••• ••• L••left Dec 31, 2014, registered Nov 14, 2017 (1049 days) · channel change inside one enterprise, not a move
- C•••••• S•••••• left F••••••• P••••••• A•• W•••••••• A••••••• for E••••• J•••• (registered 2023-03-31)Apr 5, 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
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address