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.
L••• A••••• S••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Feb 22, 2013 · Southlake, Tx
- W•••• F•••• A••••••• wirehouseDec 2, 2005 to Feb 25, 2013 · Southlake, Tx
- O••••••••• • C•• I••• BD affiliatedSep 19, 2005 to Dec 5, 2005 · Dallas, Tx
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Feb 25, 2013, registered Feb 22, 2013 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- O••••••••• • C•• I••• to W•••• F•••• A•••••••left Dec 5, 2005, registered Dec 2, 2005 (-3 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
- National broker-dealer RIAderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address