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.
N•••••• L•••••••••
- H•••••••• A•••••••• L•• BD affiliated currentsince Feb 12, 2025 · Chicago, Il
- L•••••• I••••••••• independent RIAOct 4, 2021 to Jan 7, 2025 · Irving, Tx
- R•••••• J•••• • A••••••••• I••• national BDOct 9, 2020 to Oct 29, 2021 · Dallas, Tx
- L•••••• I••••••••• to H•••••••• A•••••••• L••left Jan 7, 2025, registered Feb 12, 2025 (36 days) · RIA to affiliated broker-dealer or bank
- R•••••• J•••• • A••••••••• I••• to L•••••• I•••••••••left Oct 29, 2021, registered Oct 4, 2021 (-25 days) · Affiliated broker-dealer or bank to another
- N•••••• L••••••••• left L•••••• I••••••••• for H•••••••• A•••••••• L•• (registered 2025-02-12)Jan 7, 2025 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address