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.
C•••• R••••• D•••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jan 6, 2021 · Dallas, Tx
- L••••••• A•••• M••••••••• L•• asset managerApr 23, 2010 to Jan 21, 2021 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 27, 2004 to Apr 28, 2010 · Dallas, Tx
- C••••• S••••• S••••••••• •••• L•• formerJan 17, 2003 to Sep 2, 2004 · Dallas, Tx
- P••••••• L•• unclassifiedDec 15, 1987 to Jan 17, 2003 · Dallas, Tx
- L••••••• A•••• M••••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Jan 21, 2021, registered Jan 6, 2021 (-15 days) · RIA to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L••••••• A•••• M••••••••• L••left Apr 28, 2010, registered Apr 23, 2010 (-5 days) · Other
- C••••• S••••• S••••••••• •••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 2, 2004, registered Aug 27, 2004 (-6 days) · Other
- P••••••• L•• to C••••• S••••• S••••••••• •••• L••left Jan 17, 2003, registered Jan 17, 2003 (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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address