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.
E•••• R••••• D•••••
- M••• S••••• R••••••••• P•••••••• L•• independent RIA currentsince Jan 13, 2022 · Coppell, Tx
- R••••••••• P••••••• O• A•••••• independent RIAApr 4, 2011 to Jan 18, 2022 · Plano, Tx
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMay 13, 2009 to Jun 20, 2011 · Coppell, Tx
- E•••• S••••••••• L•• BD affiliatedJun 5, 2002 to May 22, 2009 · Coppell, Tx
- R••••••••• P••••••• O• A•••••• to M••• S••••• R••••••••• P•••••••• L••left Jan 18, 2022, registered Jan 13, 2022 (-5 days) · RIA to RIA · moved with a team
- C•••••••• I••••••••• R••••••• A•••••••• I••• to R••••••••• P••••••• O• A••••••left Jun 20, 2011, registered Apr 4, 2011 (-77 days) · Other
- E•••• S••••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left May 22, 2009, registered May 13, 2009 (-9 days) · Other
- E•••• R••••• D••••• left R••••••••• P••••••• O• A•••••• for M••• S••••• R••••••••• P•••••••• L•• (registered 2022-01-13)Jan 18, 2022 · Advisor changed firm · fact
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
- Independent wealth managerderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address