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.
T•••• C• H••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Feb 16, 2012 · Waco, Tx
- W•••••• R••••••• A•• M••••••••• L••••• formerMay 7, 2007 to Jul 14, 2009 · Fort Worth, Tx
- A• G• E•••••• • S•••• I••• unclassifiedAug 22, 2002 to Apr 18, 2007 · Fort Worth, Tx
- W•••••• R••••••• A•• M••••••••• L••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 14, 2009, registered Feb 16, 2012 (947 days) · Other
- A• G• E•••••• • S•••• I••• to W•••••• R••••••• A•• M••••••••• L•••••left Apr 18, 2007, registered May 7, 2007 (19 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
- Wirehousederived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address