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.
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W•••••• A•••••••• S•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince May 6, 2023 · Houston, Tx
- C••• P•••••• A•••••••• L•• formerApr 11, 2022 to May 13, 2022 · Denver, Co
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 11, 2022 to May 13, 2022 · Denver, Co
- J••• M••••• S••••••••• L•• wirehouseAug 2, 2016 to Oct 7, 2018 · Houston, Tx
- M••••• S•••••• wirehouseJun 30, 2014 to Jul 1, 2016 · Houston, Tx
- C•••••••• G••••• M•••••• I••• to C••• P•••••• A•••••••• L••left May 13, 2022, registered Apr 11, 2022 (-32 days) · channel change inside one enterprise, not a move
- C••• P•••••• A•••••••• L•• to C•••••••• G••••• M•••••• I•••left May 13, 2022, registered Apr 11, 2022 (-32 days) · Other
- J••• M••••• S••••••••• L•• to C••• P•••••• A•••••••• L••left Oct 7, 2018, registered Apr 11, 2022 (1282 days) · Other
- M••••• S•••••• to J••• M••••• S••••••••• L••left Jul 1, 2016, registered Aug 2, 2016 (32 days) · Wirehouse to wirehouse
- W•••••• A•••••••• S••••• left C••• P•••••• A•••••••• L•• for C•••••••• G••••• M•••••• I••• (registered 2022-04-11)May 13, 2022 · 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address