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••• S••••• P•••••
- A•••••••• P•••••••• L•• independent RIA currentsince Apr 25, 2022 · Houston, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDOct 28, 2015 to Aug 3, 2021 · Austin, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 29, 2015 · San Antonio, Tx
- M••••• S•••••• • C•• L•• unclassifiedFeb 20, 2008 to Jun 1, 2009 · Dallas, Tx
- S••••••• BD affiliatedMar 19, 2007 to Feb 8, 2008 · Dallas, Tx
- M••••• S•••••• D• I••• unclassifiedOct 7, 2002 to Dec 8, 2006 · Birmingham, Al
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 31, 1993 to Oct 11, 2002 · Dallas, Tx
- A••••••••• F•••••••• S•••••••• L•• to A•••••••• P•••••••• L••left Aug 3, 2021, registered Apr 25, 2022 (265 days) · Affiliated broker-dealer or bank to independent RIA
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Jun 29, 2015, registered Oct 28, 2015 (121 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- S••••••• to M••••• S•••••• • C•• L••left Feb 8, 2008, registered Feb 20, 2008 (12 days) · Other
- M••••• S•••••• D• I••• to S•••••••left Dec 8, 2006, registered Mar 19, 2007 (101 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S•••••• D• I•••left Oct 11, 2002, registered Oct 7, 2002 (-4 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
- Independent wealth managerderived
- Years in industry
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address