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.
S••• D••• L•••••
- A••••• F•••••••• A•••••••• L•• independent RIA currentsince Apr 1, 2022 · Charlotte, Nc
- P•• M•••••• A•••••• S••••••••• I••• formerNov 10, 2015 to Aug 23, 2021 · Austin, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 18, 2014 to Jul 2, 2015 · Issaquah, Wa
- E••••• J•••• national BDJan 3, 2012 to Jul 5, 2012 · Cypress, Tx
- P•• M•••••• A•••••• S••••••••• I••• to A••••• F•••••••• A•••••••• L••left Aug 23, 2021, registered Apr 1, 2022 (221 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• M•••••• A•••••• S••••••••• I•••left Jul 2, 2015, registered Nov 10, 2015 (131 days) · Other
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 5, 2012, registered Apr 18, 2014 (652 days) · Affiliated broker-dealer or bank to wirehouse
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