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.
- E••••• J•••• national BD currentsince Jan 18, 2019 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 19, 2018 to Jan 9, 2019 · Houston, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerFeb 9, 2016 to May 23, 2018 · Houston, Tx
- E••••• J•••• national BDAug 8, 2014 to Nov 23, 2015 · Maryland Heights, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••left Jan 9, 2019, registered Jan 18, 2019 (9 days) · Wirehouse to affiliated broker-dealer or bank
- P•• M•••••• A•••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 23, 2018, registered Nov 19, 2018 (180 days) · Affiliated broker-dealer or bank to wirehouse
- E••••• J•••• to P•• M•••••• A•••••• S••••••••• I•••left Nov 23, 2015, registered Feb 9, 2016 (78 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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address