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.
F•••••••• A•••••• E•••••••
- E••••• J•••• national BD currentsince Jan 14, 2022 · Midland, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 10, 2019 to Jan 20, 2022 · Midland, Tx
- B••• S••••••••• L•• formerJan 2, 2018 to Jul 22, 2019 · Midland, Tx
- B••• I••••••••• S•••••••• I••• formerDec 12, 2016 to Jan 2, 2018 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseJan 6, 2015 to Nov 16, 2016 · Midland, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••left Jan 20, 2022, registered Jan 14, 2022 (-6 days) · Wirehouse to affiliated broker-dealer or bank
- B••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 22, 2019, registered Sep 10, 2019 (50 days) · Affiliated broker-dealer or bank to wirehouse
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to B••• I••••••••• S•••••••• I•••left Nov 16, 2016, registered Dec 12, 2016 (26 days) · Other
- F•••••••• A•••••• E••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for E••••• J•••• (registered 2022-01-14)Jan 20, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address