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••••• T••••• P••••
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIA currentsince Sep 22, 2011 · Saginaw, Tx
- W••••• W••••• M••••••••• formerDec 3, 2004 to Sep 27, 2011 · Fort Worth, Tx
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedSep 3, 2004 to Jun 2, 2005 · Dallas, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedFeb 24, 2003 to Sep 3, 2004 · Forth Worth, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDSep 20, 1991 to Feb 24, 2003 · Hurst, Tx
- W••••• W••••• M••••••••• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left Sep 27, 2011, registered Sep 22, 2011 (-5 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to W••••• W••••• M•••••••••left Jun 2, 2005, registered Dec 3, 2004 (-181 days) · Other
- M•• I•••••••• S•••••••• L•• to R•••••• J•••• F•••••••• S•••••••• I•••left Sep 3, 2004, registered Sep 3, 2004 (0 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•• I•••••••• S•••••••• L••left Feb 24, 2003, registered Feb 24, 2003 (0 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
- Independent wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address