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.
W•••••• J••••• P•••••••
- P••••••• W••••• independent RIA currentsince May 1, 2020 · Montgomery, Tx
- K•• F•••••••• S•••••••• I•• formerOct 23, 2013 to Apr 30, 2020 · Bethlehem, Pa
- P•• A••••••• S•••••••• L•• independent RIASep 7, 2010 to Dec 31, 2013 · Spring, Tx
- K•• F•••••••• S•••••••• I•• to P••••••• W•••••left Apr 30, 2020, registered May 1, 2020 (1 days) · Affiliated broker-dealer or bank to a newly registered adviser
- P•• A••••••• S•••••••• L•• to K•• F•••••••• S•••••••• I••left Dec 31, 2013, registered Oct 23, 2013 (-69 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address