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.
L•••• J••••••• W••••••
- T••••••• I••••••••• M••••••••• I••• BD affiliated currentsince Aug 5, 2026 · Minneapolis, Mn
- M••••• S•••••• wirehouseSep 19, 2024 to Aug 3, 2026 · Albuquerque, Nm
- W•••• F•••• A••••••• wirehouseJan 27, 2023 to Aug 15, 2024 · El Paso, Tx
- M••••• S•••••• to T••••••• I••••••••• M••••••••• I•••left Aug 3, 2026, registered Aug 5, 2026 (2 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M••••• S••••••left Aug 15, 2024, registered Sep 19, 2024 (35 days) · Wirehouse to wirehouse
- L•••• J••••••• W•••••• left M••••• S•••••• for T••••••• I••••••••• M••••••••• I••• (registered 2026-08-05)Aug 3, 2026 · Advisor changed firm · fact
- L•••• J••••••• W•••••• left W•••• F•••• A••••••• for M••••• S•••••• (registered 2024-09-19)Aug 15, 2024 · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address