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.
R••••••• J•••• W••••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Apr 20, 2023 · Frisco, Tx
- H••••• M••• I••••••••• I••• no RAUMOct 1, 2020 to Apr 11, 2023 · Springfield, Il
- P•••• S••••••••• L•• no RAUMSep 3, 2019 to Jul 8, 2020 · Prairieville, La
- P••• A••••• S••••••••• L•• BD affiliatedNov 8, 2018 to Sep 9, 2019 · Baton Rouge, La
- E•••••• A••••••• G••••• L•• BD affiliatedAug 22, 2016 to Aug 16, 2018 · Greenwood Village, Co
- H••••• M••• I••••••••• I••• to A••••• A•• P••••••• S•••••••left Apr 11, 2023, registered Apr 20, 2023 (9 days) · Other
- P•••• S••••••••• L•• to H••••• M••• I••••••••• I•••left Jul 8, 2020, registered Oct 1, 2020 (85 days) · Other
- P••• A••••• S••••••••• L•• to P•••• S••••••••• L••left Sep 9, 2019, registered Sep 3, 2019 (-6 days) · Affiliated broker-dealer or bank to another
- E•••••• A••••••• G••••• L•• to P••• A••••• S••••••••• L••left Aug 16, 2018, registered Nov 8, 2018 (84 days) · Other
- R••••••• J•••• W•••••• left H••••• M••• I••••••••• I••• for A••••• A•• P••••••• S••••••• (registered 2023-04-20)Apr 11, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address