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•••••• S•••••••
- M••••• A••••••• independent RIA currentsince Jun 13, 2023 · Houston, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to May 26, 2023 · Boston, Ma
- S•••••••• A••••••• L•• national BDSep 8, 2015 to Jul 13, 2018 · Houston, Tx
- S•••••••• A••••••• L•• national BDNov 1, 2007 to Nov 20, 2014 · Covington, Ky
- F••••••• P••••••• A•• W•••••••• A••••••• to M••••• A•••••••left May 26, 2023, registered Jun 13, 2023 (18 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- J•• M•••••• S••••••• left F••••••• P••••••• A•• W•••••••• A••••••• for M••••• A••••••• (registered 2023-06-13)May 26, 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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address