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.
V•••••• M••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 3, 2023 · Dallas, Tx
- C••••••• S••••••••• formerApr 13, 2010 to Nov 3, 2023 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Feb 17, 2010 · Dallas, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDMar 30, 2007 to Apr 3, 2007 · Dallas, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Oct 23, 2009 · Dallas, Tx
- Q•••• • R•••••• I••• unclassifiedDec 3, 2002 to Oct 20, 2004 · Dallas, Tx
- C••••••• S••••••••• to A••••••••• F•••••••• S•••••••• L••left Nov 3, 2023, registered Nov 3, 2023 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• S•••••••••left Feb 17, 2010, registered Apr 13, 2010 (55 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 23, 2009, registered Mar 30, 2007 (-938 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 3, 2007, registered Oct 23, 2009 (934 days) · Affiliated broker-dealer or bank to wirehouse
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address