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.
N••• A•• I•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince May 18, 2023 · Dallas, Tx
- U•• F•••••••• S••••••• I••• wirehouseMay 10, 2013 to May 30, 2023 · Dallas, Tx
- C••••• S••••• S••••••••• •••• L•• formerApr 9, 2009 to May 21, 2013 · Dallas, Tx
- U•• F•••••••• S••••••• I••• wirehouseOct 2, 2007 to Apr 23, 2009 · Dallas, Tx
- U•• F•••••••• S••••••• I••• to J••• M••••• S••••••••• L••left May 30, 2023, registered May 18, 2023 (-12 days) · Wirehouse to wirehouse
- C••••• S••••• S••••••••• •••• L•• to U•• F•••••••• S••••••• I•••left May 21, 2013, registered May 10, 2013 (-11 days) · Other
- U•• F•••••••• S••••••• I••• to C••••• S••••• S••••••••• •••• L••left Apr 23, 2009, registered Apr 9, 2009 (-14 days) · Other
- N••• A•• I••••• left U•• F•••••••• S••••••• I••• for J••• M••••• S••••••••• L•• (registered 2023-05-18)May 30, 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address