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.
- M••••• S•••••• wirehouse currentsince May 14, 2018 · Ridgeland, Ms
- B•• F•••••••• A••••••• BD affiliatedMay 18, 2011 to Apr 4, 2018 · Dallas, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to May 26, 2011 · Dallas, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 17, 2004 to Jun 1, 2009 · Dallas, Tx
- U•• F•••••••• S••••••• I••• wirehouseJun 27, 2001 to Apr 22, 2004 · Dallas, Tx
- B•• F•••••••• A••••••• to M••••• S••••••left Apr 4, 2018, registered May 14, 2018 (40 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to B•• F•••••••• A•••••••left May 26, 2011, registered May 18, 2011 (-8 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left Apr 22, 2004, registered May 17, 2004 (25 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
- Wirehousederived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address