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••••• M••• M•••••••
- M••• S••••• F•••••••• A••••••• state registered currentsince Mar 30, 2016 · Justin, Tx
- C••••• I••••••••• S••••••• L•• formerOct 29, 2002 to Jun 1, 2004 · Southlake, Tx
- O•••• F•• I••• formerSep 12, 2001 to Oct 9, 2002 · Southlake, Tx
- C••••• I••••••••• S••••••• L•• to M••• S••••• F•••••••• A•••••••left Jun 1, 2004, registered Mar 30, 2016 (4320 days) · Other
- O•••• F•• I••• to C••••• I••••••••• S••••••• L••left Oct 9, 2002, registered Oct 29, 2002 (20 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
- STATE REGISTEREDderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address