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.
G•••••• J••• H••••••••
- M••••••••• W••••• M••••••••• L•• state registered currentsince Nov 11, 2022 · Broomfield, Co
- W•••••• • R••• formerDec 8, 2015 to Jul 22, 2016 · Boulder, Co
- J••• M••••• S••••••••• L•• wirehouseJun 9, 2014 to Nov 18, 2015 · Dallas, Tx
- E••••• J•••• national BDJun 27, 2011 to Aug 22, 2012 · Mckinney, Tx
- W•••••• • R••• to M••••••••• W••••• M••••••••• L••left Jul 22, 2016, registered Nov 11, 2022 (2303 days) · Other
- J••• M••••• S••••••••• L•• to W•••••• • R•••left Nov 18, 2015, registered Dec 8, 2015 (20 days) · Other
- E••••• J•••• to J••• M••••• S••••••••• L••left Aug 22, 2012, registered Jun 9, 2014 (656 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
- STATE REGISTEREDderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address