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••• S••••••• B••••••
- E•••••• F•••••••• E•••••• independent RIA currentsince Nov 1, 2018 · Dallas, Tx
- E•••••• F•••••••• S•••••••• L•• formerMay 23, 2012 to Nov 1, 2018 · Mountain View, Ca
- S•••••• M••••• L•• independent RIADec 14, 2010 to Dec 31, 2012 · Dallas, Tx
- F•••• F•••••••• E••••• C••••••••• formerJul 15, 2009 to Dec 3, 2010 · Addison, Tx
- S••••••• G•••• C•••••• unclassifiedJan 4, 2005 to Mar 20, 2009 · Dallas, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 15, 2003 to Nov 12, 2004 · Dallas, Tx
- B••• O• A•••••• S••••••••• L•• unclassifiedFeb 7, 2003 to Aug 20, 2003 · Dallas, Tx
- M••••• S•••••• D• I••• unclassifiedApr 17, 1996 to Feb 10, 2003 · Dallas, Tx
- E•••••• F•••••••• S•••••••• L•• to E•••••• F•••••••• E••••••left Nov 1, 2018, registered Nov 1, 2018 (0 days) · corporate re-registration, not a move
- S•••••• M••••• L•• to E•••••• F•••••••• S•••••••• L••left Dec 31, 2012, registered May 23, 2012 (-222 days) · Other
- F•••• F•••••••• E••••• C••••••••• to S•••••• M••••• L••left Dec 3, 2010, registered Dec 14, 2010 (11 days) · Other
- S••••••• G•••• C•••••• to F•••• F•••••••• E••••• C•••••••••left Mar 20, 2009, registered Jul 15, 2009 (117 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to S••••••• G•••• C••••••left Nov 12, 2004, registered Jan 4, 2005 (53 days) · Other
- B••• O• A•••••• S••••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Aug 20, 2003, registered Aug 15, 2003 (-5 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to B••• O• A•••••• S••••••••• L••left Feb 10, 2003, registered Feb 7, 2003 (-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
- Independent wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address