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.
P•••••• R•••••• P•••••
- F•••• 4•• •• G••••• L•• institutional currentsince Jul 12, 2014 · Addison, Tx
- L•• F•••••••• L•• BD affiliatedNov 30, 2010 to Nov 18, 2014 · Fort Mill, Sc
- N•• A•••••••• I••• unclassifiedMar 4, 2008 to Nov 30, 2010 · Dallas, Tx
- N•• F••••••••• I••• unclassifiedAug 6, 2007 to Oct 15, 2008 · Bryan, Oh
- F•••••••• T••••••• I••• formerApr 15, 2005 to Aug 6, 2007 · Dallas, Tx
- L•• F•••••••• L•• to F•••• 4•• •• G••••• L••left Nov 18, 2014, registered Jul 12, 2014 (-129 days) · Other
- N•• A•••••••• I••• to L•• F•••••••• L••left Nov 30, 2010, registered Nov 30, 2010 (0 days) · corporate re-registration, not a move
- N•• F••••••••• I••• to N•• A•••••••• I•••left Oct 15, 2008, registered Mar 4, 2008 (-225 days) · corporate re-registration, not a move
- F•••••••• T••••••• I••• to N•• F••••••••• I•••left Aug 6, 2007, registered Aug 6, 2007 (0 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
- Institutional managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address