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.
C••••••••• J•••• B••••••
- F••••• I••••••••• independent RIA currentsince Sep 18, 2019 · Plano, Tx
- J••• M••••• S••••••••• L•• wirehouseSep 7, 2018 to May 20, 2019 · Plano, Tx
- A••••••• I••••••••• M••••••••• L•• unclassifiedOct 13, 2016 to Jan 5, 2017 · Dallas, Tx
- U••••• C•••••• A••••••• independent RIAJun 10, 2014 to Apr 6, 2015 · Dallas, Tx
- C••••••• P••••••• independent RIAJul 22, 2013 to Mar 31, 2014 · Heath, Tx
- U••• F•••••••• P••••••• S••••••• formerSep 21, 2011 to Jul 24, 2013 · Addison, Tx
- C••••• • B•••• S••••••••• I••• unclassifiedFeb 7, 2007 to May 4, 2010 · Arlington, Tx
- C•• C•••••• P•••••••• L••• unclassifiedAug 29, 2005 to Sep 13, 2011
- C•• C•••••• P•••••••• L••• unclassifiedJan 1, 2004 to Dec 31, 2004 · Dallas, Tx
- J••• M••••• S••••••••• L•• to F••••• I•••••••••left May 20, 2019, registered Sep 18, 2019 (121 days) · Wirehouse to independent RIA
- A••••••• I••••••••• M••••••••• L•• to J••• M••••• S••••••••• L••left Jan 5, 2017, registered Sep 7, 2018 (610 days) · Other
- U••••• C•••••• A••••••• to A••••••• I••••••••• M••••••••• L••left Apr 6, 2015, registered Oct 13, 2016 (556 days) · Other
- C••••••• P••••••• to U••••• C•••••• A•••••••left Mar 31, 2014, registered Jun 10, 2014 (71 days) · Other
- U••• F•••••••• P••••••• S••••••• to C••••••• P•••••••left Jul 24, 2013, registered Jul 22, 2013 (-2 days) · Other
- C•• C•••••• P•••••••• L••• to C••••• • B•••• S••••••••• I•••left Sep 13, 2011, registered Feb 7, 2007 (-1679 days) · Other
- C••••• • B•••• S••••••••• I••• to U••• F•••••••• P••••••• S•••••••left May 4, 2010, registered Sep 21, 2011 (505 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
- Independent wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address