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.
D•••• R•• B•••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jan 26, 2016 · Dallas, Tx
- C••••• S••••• S••••••••• •••• L•• formerApr 9, 2009 to Feb 23, 2016 · Dallas, Tx
- U•• F•••••••• S••••••• I••• wirehouseDec 10, 2001 to Apr 23, 2009 · Dallas, Tx
- C••••• S••••• S••••••••• •••• L•• to U•• F•••••••• S••••••• I•••left Feb 23, 2016, registered Jan 26, 2016 (-28 days) · Other
- U•• F•••••••• S••••••• I••• to C••••• S••••• S••••••••• •••• L••left Apr 23, 2009, registered Apr 9, 2009 (-14 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
- Wirehousederived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address