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.
B•••••• J•••• M•••••
- F••••• I••••••••• independent RIA currentsince Jan 13, 2015 · Plano, Tx
- O•••• F•••••••• G••••• L•• independent RIAJun 27, 2012 to Dec 23, 2016 · Santa Barbara, Ca
- W•••• F•••• A••••••• wirehouseSep 10, 2010 to Jul 2, 2012 · Santa Barbara, Ca
- O•••• F•••••••• G••••• L•• to F••••• I•••••••••left Dec 23, 2016, registered Jan 13, 2015 (-710 days) · Other
- W•••• F•••• A••••••• to O•••• F•••••••• G••••• L••left Jul 2, 2012, registered Jun 27, 2012 (-5 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address