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.
D•••••• R•• N•••••
- C••••••••• W••••• A••••••• L•• independent RIA currentsince Aug 11, 2017 · Coppell, Tx
- G••••• W••••• M••••••••• I••• BD affiliatedApr 4, 2008 to Aug 11, 2017 · Dallas, Tx
- N•• F••••••••• I••• unclassifiedJan 2, 2003 to Mar 24, 2008 · Addison, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedMay 1, 2001 to Jan 21, 2003 · Dallas, Tx
- H•• A•••••••• L••••• unclassifiedMay 1, 2001 to Dec 20, 2002 · Dallas, Tx
- G••••• W••••• M••••••••• I••• to C••••••••• W••••• A••••••• L••left Aug 11, 2017, registered Aug 11, 2017 (0 days) · Other
- N•• F••••••••• I••• to G••••• W••••• M••••••••• I•••left Mar 24, 2008, registered Apr 4, 2008 (11 days) · Other
- M•• I•••••••• S•••••••• L•• to N•• F••••••••• I•••left Jan 21, 2003, registered Jan 2, 2003 (-19 days) · Other
- H•• A•••••••• L••••• to M•• I•••••••• S•••••••• L••left Dec 20, 2002, registered May 1, 2001 (-598 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
- Independent wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address