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••••• C••••• M••••
- G••• L••• A•••••••• L•• independent RIA currentsince Sep 7, 2021 · Celebration, Fl
- L•••• F••• A••••••• S••••••• BD affiliatedJul 20, 2015 to Oct 7, 2021 · Dallas, Tx
- U•• F•••••••• S••••••• I••• wirehouseMar 26, 2009 to Jul 28, 2015 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 6, 2003 to Mar 30, 2009 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 7, 2000 to Nov 20, 2002 · Dallas, Tx
- L•••• F••• A••••••• S••••••• to G••• L••• A•••••••• L••left Oct 7, 2021, registered Sep 7, 2021 (-30 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- U•• F•••••••• S••••••• I••• to L•••• F••• A••••••• S•••••••left Jul 28, 2015, registered Jul 20, 2015 (-8 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Mar 30, 2009, registered Mar 26, 2009 (-4 days) · Wirehouse 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
- Independent wealth managerderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address