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.
B••••• M••••••• P•••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 14, 2021 · San Diego, Ca
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJun 16, 2015 to Sep 3, 2021 · Dallas, Tx
- O••••••••• • C•• I••• BD affiliatedDec 4, 2014 to May 21, 2015 · Dallas, Tx
- M••••• S•••••• wirehouseDec 23, 2009 to Jun 27, 2013 · Plano, Tx
- C•••••••• I••••••••• R••••••• A•••••••• I••• to L•• F•••••••• L••left Sep 3, 2021, registered Sep 14, 2021 (11 days) · Affiliated broker-dealer or bank to another · moved with a team
- O••••••••• • C•• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left May 21, 2015, registered Jun 16, 2015 (26 days) · Other
- M••••• S•••••• to O••••••••• • C•• I•••left Jun 27, 2013, registered Dec 4, 2014 (525 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address