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.
M••• B•••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Apr 29, 2022 · Austin, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerFeb 17, 2015 to May 7, 2021 · Austin, Tx
- J••• M••••• S••••••••• L•• wirehouseJun 5, 2013 to Mar 4, 2014 · Cedar Park, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 4, 2011 to May 30, 2013 · Austin, Tx
- W•••• F•••• I••••••••• L•• unclassifiedJun 29, 2006 to Nov 10, 2010 · Walnut Creek, Ca
- P•• M•••••• A•••••• S••••••••• I••• to J••• M••••• S••••••••• L••left May 7, 2021, registered Apr 29, 2022 (357 days) · Affiliated broker-dealer or bank to wirehouse
- J••• M••••• S••••••••• L•• to P•• M•••••• A•••••• S••••••••• I•••left Mar 4, 2014, registered Feb 17, 2015 (350 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left May 30, 2013, registered Jun 5, 2013 (6 days) · Wirehouse to wirehouse
- W•••• F•••• I••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 10, 2010, registered Feb 4, 2011 (86 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address