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.
- T••••• S•••••••• I••• former currentsince Oct 17, 2014 · Coppell, Tx
- W•••• N••••• • A••••••••• L••••• unclassifiedDec 28, 2015 to Jan 19, 2016 · Dallas, Tx
- B••••••• L•••••• A•• N••• S••••••••• L••• unclassifiedJun 20, 2005 to Dec 28, 2015 · Coppell, Tx
- C••••• S••••• S••••••••• •••• L•• formerJan 17, 2003 to Apr 2, 2003 · Dallas, Tx
- P••••••• L•• unclassifiedMay 17, 1999 to Jan 17, 2003 · Dallas, Tx
- W•••• N••••• • A••••••••• L••••• to no registered destinationleft Jan 19, 2016 · Departure, no registered destination
- B••••••• L•••••• A•• N••• S••••••••• L••• to T••••• S•••••••• I•••left Dec 28, 2015, registered Oct 17, 2014 (-437 days) · Other
- C••••• S••••• S••••••••• •••• L•• to B••••••• L•••••• A•• N••• S••••••••• L•••left Apr 2, 2003, registered Jun 20, 2005 (810 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
- Former SEC-registered adviserderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address