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•••••• W•••
- W••• W••••• M••••••••• L•• state registered currentsince May 7, 2019 · Dallas, Tx
- W••••••• F•••••••• S•••••••• I••• formerMar 1, 2019 to May 9, 2019 · Dallas, Tx
- Q•••••• A•••• M••••••••• I••• formerMar 18, 2016 to Mar 1, 2019 · Dallas, Tx
- C••••• A•••••• N••••••• L•• formerOct 16, 2015 to Mar 21, 2016 · Dallas, Tx
- S••••••••• A•••••• A•••••••• I••• formerJul 22, 2004 to Feb 2, 2007 · Addison, Tx
- S••••••••• S••••••••• I••• unclassifiedApr 14, 1999 to Jul 23, 2004 · Dallas, Tx
- W••••••• F•••••••• S•••••••• I••• to W••• W••••• M••••••••• L••left May 9, 2019, registered May 7, 2019 (-2 days) · Affiliated broker-dealer or bank to a state-registered adviser
- Q•••••• A•••• M••••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Mar 1, 2019, registered Mar 1, 2019 (0 days) · corporate re-registration, not a move
- C••••• A•••••• N••••••• L•• to Q•••••• A•••• M••••••••• I•••left Mar 21, 2016, registered Mar 18, 2016 (-3 days) · Other
- S••••••••• A•••••• A•••••••• I••• to C••••• A•••••• N••••••• L••left Feb 2, 2007, registered Oct 16, 2015 (3178 days) · Other
- S••••••••• S••••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Jul 23, 2004, registered Jul 22, 2004 (-1 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
- STATE REGISTEREDderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address