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••••• S•••••• wirehouse currentsince Aug 26, 2021 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 19, 2017 to Jul 27, 2021 · Dallas, Tx
- R•••••• J•••• • A••••••••• I••• national BDOct 21, 2013 to Jun 13, 2017 · Dallas, Tx
- C••••••• C•••••• I••••••••• M••••••••• L•• formerJun 25, 2012 to May 29, 2013 · Plano, Tx
- J••• M••••• S••••••••• L•• wirehouseMay 24, 2007 to Apr 26, 2012 · Dallas, Tx
- C••••• S••••• S••••••••• •••• L•• formerSep 7, 2006 to May 18, 2007 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jul 27, 2021, registered Aug 26, 2021 (30 days) · Wirehouse to wirehouse · moved with a team
- R•••••• J•••• • A••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 13, 2017, registered Jun 19, 2017 (6 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- C••••••• C•••••• I••••••••• M••••••••• L•• to R•••••• J•••• • A••••••••• I•••left May 29, 2013, registered Oct 21, 2013 (145 days) · Other
- J••• M••••• S••••••••• L•• to C••••••• C•••••• I••••••••• M••••••••• L••left Apr 26, 2012, registered Jun 25, 2012 (60 days) · Other
- C••••• S••••• S••••••••• •••• L•• to J••• M••••• S••••••••• L••left May 18, 2007, registered May 24, 2007 (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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address