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••••• P•••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 3, 2023 · El Segundo, Ca
- S•• W••••• independent RIAJul 1, 2015 to Sep 15, 2023 · Plano, Tx
- B••••• P••••• A•••••••• L•• independent RIAMay 28, 2014 to Jun 10, 2015 · North Richland Hills, Tx
- S•••••••• A••••••• L•• national BDJan 27, 2011 to May 9, 2014 · Westlake, Tx
- S•• W••••• to J••• M••••• S••••••••• L••left Sep 15, 2023, registered Oct 3, 2023 (18 days) · Affiliated broker-dealer or bank to wirehouse
- B••••• P••••• A•••••••• L•• to S•• W•••••left Jun 10, 2015, registered Jul 1, 2015 (21 days) · Other
- S•••••••• A••••••• L•• to B••••• P••••• A•••••••• L••left May 9, 2014, registered May 28, 2014 (19 days) · Other
- R••••• P••• left S•• W••••• for J••• M••••• S••••••••• L•• (registered 2023-10-03)Sep 15, 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
- Wirehousederived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address