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 Nov 3, 2019 · Fort Worth, Tx
- U•• F•••••••• S••••••• I••• wirehouseJun 23, 2009 to Nov 12, 2019 · Ft. Worth, Tx
- R•• C•••••• M••••••• L•• national BDJun 29, 2000 to Jul 2, 2009 · Fort Worth, Tx
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Nov 12, 2019, registered Nov 3, 2019 (-9 days) · Wirehouse to wirehouse · moved with a team
- R•• C•••••• M••••••• L•• to U•• F•••••••• S••••••• I•••left Jul 2, 2009, registered Jun 23, 2009 (-9 days) · Affiliated broker-dealer or bank 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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address