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.
V•••••• J••• L•••••••
- W••••••••• A••••••• P••••••• L•• BD affiliated currentsince May 13, 2019 · West Chester, Pa
- L•• F•••••••• L•• BD affiliatedApr 11, 2017 to Feb 4, 2019 · Dallas, Tx
- I••••••••• F•••••••• P••••••• BD affiliatedFeb 3, 2016 to May 13, 2019 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 15, 2011 to Feb 3, 2016 · Dallas, Tx
- I••••••••• F•••••••• P••••••• to L•• F•••••••• L••left May 13, 2019, registered Apr 11, 2017 (-762 days) · Other · moved with a team
- L•• F•••••••• L•• to W••••••••• A••••••• P••••••• L••left Feb 4, 2019, registered May 13, 2019 (98 days) · RIA to RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••••••• F•••••••• P•••••••left Feb 3, 2016, registered Feb 3, 2016 (0 days) · Other · moved with a team
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address