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••• R•••••• F••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Apr 19, 2018 · Tyler, Tx
- C•••••• S••••• • C••• I••• national BDAug 3, 2011 to Apr 13, 2018 · Southlake, Tx
- R•••• • M••• F•••••••• A••••••• I•• formerAug 16, 2007 to Aug 16, 2011 · Southlake, Tx
- E•• C••••••••• formerJan 31, 2006 to Jun 8, 2007 · Dallas, Tx
- C•••••• S••••• • C••• I••• national BDAug 3, 1995 to Jan 25, 2006 · Southlake, Tx
- C•••••• S••••• • C••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 13, 2018, registered Apr 19, 2018 (6 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- R•••• • M••• F•••••••• A••••••• I•• to C•••••• S••••• • C••• I•••left Aug 16, 2011, registered Aug 3, 2011 (-13 days) · Other
- E•• C••••••••• to R•••• • M••• F•••••••• A••••••• I••left Jun 8, 2007, registered Aug 16, 2007 (69 days) · Other
- C•••••• S••••• • C••• I••• to E•• C•••••••••left Jan 25, 2006, registered Jan 31, 2006 (6 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