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.
- S•••••• S••••••••• BD affiliated currentsince Feb 18, 2016 · Celina, Tx
- E•• I••••••••• A•••••• C••••••••• unclassifiedDec 10, 2013 to Jan 4, 2016 · Irving, Tx
- E•• I••••••••• A•••••• C••••••••• unclassifiedAug 26, 2013 to Dec 31, 2013 · Irving, Tx
- W•• A•••••••• L• formerApr 29, 2003 to Jul 22, 2013 · Dallas, Tx
- W•• I••••••••• I••• unclassifiedJun 15, 1999 to Oct 16, 2007 · Dallas, Tx
- E•• I••••••••• A•••••• C••••••••• to S•••••• S•••••••••left Jan 4, 2016, registered Feb 18, 2016 (45 days) · Other
- W•• A•••••••• L• to E•• I••••••••• A•••••• C•••••••••left Jul 22, 2013, registered Aug 26, 2013 (35 days) · Other
- W•• I••••••••• I••• to W•• A•••••••• L•left Oct 16, 2007, registered Apr 29, 2003 (-1631 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address