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•••••• J•••••• B•••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 18, 2023 · Round Rock, Tx
- C•••••• A••••••• BD affiliatedAug 20, 2021 to Aug 21, 2023 · Liberty Hill, Tx
- L•••••• I••••••••• independent RIAAug 20, 2021 to Aug 21, 2023 · Fort Washington, Pa
- C•••••• A••••••• to L•••••• I•••••••••left Aug 21, 2023, registered Aug 20, 2021 (-731 days) · Affiliated broker-dealer or bank to another
- L•••••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Aug 21, 2023, registered Aug 18, 2023 (-3 days) · RIA to affiliated broker-dealer or bank
- M•••••• J•••••• B••• left C•••••• A••••••• for L•••••• I••••••••• (registered 2021-08-20)Aug 21, 2023 · Advisor changed firm · fact
- M•••••• J•••••• B••• left L•••••• I••••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-08-18)Aug 21, 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address