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.
D••••• P•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Apr 7, 2022 · Houston, Tx
- T••••••• A••••••• L•• independent RIAJan 14, 2020 to Mar 18, 2022 · Frisco, Tx
- S•••••• M••••• L•• independent RIAJan 14, 2020 to Mar 18, 2022 · Houston, Tx
- T••••••• A••••••• L•• to S•••••• M••••• L••left Mar 18, 2022, registered Jan 14, 2020 (-794 days) · RIA to RIA
- S•••••• M••••• L•• to J••• M••••• S••••••••• L••left Mar 18, 2022, registered Apr 7, 2022 (20 days) · RIA to wirehouse
- D••••• P••••• left S•••••• M••••• L•• for J••• M••••• S••••••••• L•• (registered 2022-04-07)Mar 18, 2022 · Advisor changed firm · fact
- D••••• P••••• left T••••••• A••••••• L•• for S•••••• M••••• L•• (registered 2020-01-14)Mar 18, 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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address