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.
J•••• M•••••••
- E••••• J•••• national BD currentsince Jul 29, 2022 · St. Louis, Mo
- F•••• I••••••••• A•••••••• L•• asset managerAug 29, 2017 to Jul 1, 2019 · San Antonio, Tx
- F•••• C•••••• A••••••• S••••••• BD affiliatedDec 15, 2015 to Aug 18, 2017 · Fort Worth, Tx
- F•••• C•••••• F•••••••• P•••••••• I••• formerOct 15, 2015 to Dec 15, 2015 · Fort Worth, Tx
- F•••• I••••••••• A•••••••• L•• to E••••• J••••left Jul 1, 2019, registered Jul 29, 2022 (1124 days) · Other
- F•••• C•••••• A••••••• S••••••• to F•••• I••••••••• A•••••••• L••left Aug 18, 2017, registered Aug 29, 2017 (11 days) · Other
- F•••• C•••••• F•••••••• P•••••••• I••• to F•••• C•••••• A••••••• S•••••••left Dec 15, 2015, registered Dec 15, 2015 (0 days) · corporate re-registration, not a move
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address