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.
M••••• J••• F••••••
- C•••••• S••••• • C••• I••• national BD currentsince Jun 23, 2022 · Grand Prairie, Tx
- N•• A•••••• S•••••••• L•• formerAug 10, 2015 to Dec 14, 2015 · Dallas, Tx
- U•• F•••••••• S••••••• I••• wirehouseNov 17, 2003 to Oct 1, 2004 · Dallas, Tx
- 1•• G••••• A••••••• I•• formerApr 16, 2003 to Aug 28, 2003 · Dallas, Tx
- N•• A•••••• S•••••••• L•• to C•••••• S••••• • C••• I•••left Dec 14, 2015, registered Jun 23, 2022 (2383 days) · Other
- U•• F•••••••• S••••••• I••• to N•• A•••••• S•••••••• L••left Oct 1, 2004, registered Aug 10, 2015 (3965 days) · Other
- 1•• G••••• A••••••• I•• to U•• F•••••••• S••••••• I•••left Aug 28, 2003, registered Nov 17, 2003 (81 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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address