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.
T••••• C•••• S••••
- R•• C•••••• M••••••• L•• national BD currentsince Jan 3, 2014 · Tyler, Tx
- C••••••• formerJun 13, 2012 to May 7, 2014 · Tyler, Tx
- N•• A•••••• S•••••••• L•• formerMay 13, 2003 to Jun 22, 2012 · Tyler, Tx
- V••••••• I••••••••• A•••••••• I••• unclassifiedJan 6, 1999 to Jun 16, 2003 · Dallas, Tx
- C••••••• to R•• C•••••• M••••••• L••left May 7, 2014, registered Jan 3, 2014 (-124 days) · Other
- N•• A•••••• S•••••••• L•• to C•••••••left Jun 22, 2012, registered Jun 13, 2012 (-9 days) · Other
- V••••••• I••••••••• A•••••••• I••• to N•• A•••••• S•••••••• L••left Jun 16, 2003, registered May 13, 2003 (-34 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
- National broker-dealer RIAderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address