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.
- A•••• M••••••••• C••• former currentsince Mar 12, 2018 · Frisco, Tx
- C••••••• V•••••• C••••••• L•• formerFeb 9, 2007 to Nov 21, 2017 · Plano, Tx
- A•••• M••••••••• C••• formerMar 28, 2006 to Nov 21, 2017 · Frisco, Tx
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Mar 8, 2005 · Dallas, Tx
- P••••••••• E••••• G••••• L•• unclassifiedJun 20, 2000 to Jul 1, 2003 · Dallas, Tx
- A•••• M••••••••• C••• to C••••••• V•••••• C••••••• L••left Nov 21, 2017, registered Feb 9, 2007 (-3938 days) · Other
- C••••••• V•••••• C••••••• L•• to A•••• M••••••••• C•••left Nov 21, 2017, registered Mar 12, 2018 (111 days) · Other
- W•••• F•••• A••••••• to A•••• M••••••••• C•••left Mar 8, 2005, registered Mar 28, 2006 (385 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- Former SEC-registered adviserderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address