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.
L•••• L•• W•••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Sep 21, 2020 · Dallas, Tx
- O•••• F•• I••• formerMar 6, 2018 to Aug 8, 2019 · Beaumont, Tx
- M••••• S•••••• wirehouseOct 4, 2016 to Feb 5, 2018 · Beaumont, Tx
- R•••••• J•••• • A••••••••• I••• national BDNov 1, 2013 to Jun 30, 2016 · Dallas, Tx
- H•••••• S••••••••• I••• BD affiliatedSep 13, 2013 to Oct 30, 2013 · Dallas, Tx
- O•••• F•• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 8, 2019, registered Sep 21, 2020 (410 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to O•••• F•• I•••left Feb 5, 2018, registered Mar 6, 2018 (29 days) · Other
- R•••••• J•••• • A••••••••• I••• to M••••• S••••••left Jun 30, 2016, registered Oct 4, 2016 (96 days) · Affiliated broker-dealer or bank to wirehouse
- H•••••• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Oct 30, 2013, registered Nov 1, 2013 (2 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address