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••• H•••••
- A••••••• F•••••••• A•••••••• L•• BD affiliated currentsince Nov 3, 2023 · Arvada, Co
- I•••••••• F•• W••••• A•••••••• I••• formerFeb 17, 2012 to May 14, 2013 · Little Elm, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedFeb 8, 2010 to Dec 31, 2011 · Addison, Tx
- P•••• S••••••••• L•• no RAUMSep 29, 2008 to Aug 28, 2009 · Plano, Tx
- I•••••••• F•• W••••• A•••••••• I••• to A••••••• F•••••••• A•••••••• L••left May 14, 2013, registered Nov 3, 2023 (3825 days) · Other
- M•• I•••••••• S•••••••• L•• to I•••••••• F•• W••••• A•••••••• I•••left Dec 31, 2011, registered Feb 17, 2012 (48 days) · Other
- P•••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Aug 28, 2009, registered Feb 8, 2010 (164 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address