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.
R••• W••••• O••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Feb 13, 2013 · Fort Worth, Tx
- M••••• K••••• • C••••••• L•• formerJun 2, 2009 to Feb 13, 2013 · Ft. Worth, Tx
- U•• F•••••••• S••••••• I••• wirehouseOct 17, 2003 to Jun 17, 2009 · Grapevine, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 14, 1992 to Oct 30, 2003 · Irving, Tx
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M••••• K••••• • C••••••• L••left Jun 17, 2009, registered Jun 2, 2009 (-15 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Oct 30, 2003, registered Oct 17, 2003 (-13 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
- National broker-dealer RIAderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address