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.
J••••• M•••••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Apr 29, 2022 · Dallas, Tx
- F•••• I••••••••• S••••••• BD affiliatedJan 27, 2022 to Apr 11, 2022 · San Antonio, Tx
- F•••• I••••••••• S••••••• BD affiliatedMar 27, 2017 to Dec 31, 2021 · Dallas, Tx
- J••• M••••• S••••••••• L•• wirehouseOct 4, 2016 to Mar 9, 2017 · Dallas, Tx
- F•••• I••••••••• S••••••• to J••• M••••• S••••••••• L••left Apr 11, 2022, registered Apr 29, 2022 (18 days) · Affiliated broker-dealer or bank to wirehouse
- J••• M••••• S••••••••• L•• to F•••• I••••••••• S•••••••left Mar 9, 2017, registered Mar 27, 2017 (18 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J••••• M••••••••• left F•••• I••••••••• S••••••• for J••• M••••• S••••••••• L•• (registered 2022-04-29)Apr 11, 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address