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•••• S••••••• E•••••••••
- A••••• C••••••••• independent RIA currentsince Dec 21, 2022 · Alexandria, Va
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 22, 2019 to Feb 22, 2021 · Dallas, Tx
- D••••••• P••• C••••••• L•• unclassifiedJun 23, 2017 to May 21, 2019 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••• C•••••••••left Feb 22, 2021, registered Dec 21, 2022 (667 days) · Wirehouse to independent RIA
- D••••••• P••• C••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 21, 2019, registered Aug 22, 2019 (93 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
- Independent wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address