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.
S•••••• M••• E•••••
- C•• W••••• M••••••••• independent RIA currentsince Apr 28, 2020 · Plano, Tx
- W•••• F•••• A••••••• wirehouseSep 20, 2018 to May 20, 2020 · Plano, Tx
- W•••• F•••• A••••••• wirehouseMay 25, 2007 to Sep 20, 2018 · Dallas, Tx
- U•• F•••••••• S••••••• I••• wirehouseAug 14, 2000 to Jun 11, 2007 · Addison, Tx
- W•••• F•••• A••••••• to C•• W••••• M•••••••••left May 20, 2020, registered Apr 28, 2020 (-22 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Sep 20, 2018, registered Sep 20, 2018 (0 days) · channel change inside one enterprise, not a move · moved with a team
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Jun 11, 2007, registered May 25, 2007 (-17 days) · Wirehouse to wirehouse
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