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.
S•••••• Z••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Apr 27, 2018 · Dallas, Tx
- K••••• A••••••• S•••••••• L•• BD affiliatedApr 19, 2016 to May 12, 2016 · Irving, Tx
- N•• A•••••• S•••••••• L•• formerNov 3, 2015 to May 12, 2016 · Irving, Tx
- W•••• F•••• A••••••• wirehouseFeb 24, 2015 to Oct 28, 2015 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 17, 2010 to Feb 10, 2015 · Tyler, Tx
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left May 12, 2016, registered Apr 19, 2016 (-23 days) · Other · moved with a team
- K••••• A••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 12, 2016, registered Apr 27, 2018 (715 days) · Other
- W•••• F•••• A••••••• to N•• A•••••• S•••••••• L••left Oct 28, 2015, registered Nov 3, 2015 (6 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Feb 10, 2015, registered Feb 24, 2015 (14 days) · Wirehouse to wirehouse
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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address