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.
J••• M•••• L•••
- W•••••• S••••••••• I••• BD affiliated currentsince Feb 6, 2018 · Dallas, Tx
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Feb 5, 2018 · Dallas, Tx
- P••••••••• E••••• G••••• L•• unclassifiedApr 9, 2001 to Jul 1, 2003 · Dalllas, Tx
- W•••• F•••• A••••••• to W•••••• S••••••••• I•••left Feb 5, 2018, registered Feb 6, 2018 (1 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address