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.
T••••• D•••• G••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 25, 2019 · Dallas, Tx
- W•••• F•••• A••••••• wirehouseDec 2, 2013 to May 1, 2019 · Fort Worth, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerMar 8, 2012 to Dec 2, 2013 · Dallas, Tx
- M••••• S•••••• D• I••• unclassifiedJan 14, 1999 to Dec 9, 2002 · Little Rock, Ar
- W•••• F•••• A••••••• to L•• F•••••••• L••left May 1, 2019, registered Apr 25, 2019 (-6 days) · Wirehouse to independent RIA
- P•• M•••••• A•••••• S••••••••• I••• to W•••• F•••• A•••••••left Dec 2, 2013, registered Dec 2, 2013 (0 days) · Other
- M••••• S•••••• D• I••• to P•• M•••••• A•••••• S••••••••• I•••left Dec 9, 2002, registered Mar 8, 2012 (3377 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address