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•••••• W•••• B•••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Feb 22, 2017 · Dallas, Tx
- F•••• A••••• A••••••• S•••••••• I••• formerMay 3, 2013 to Feb 17, 2017 · Dallas, Tx
- O••• W••••• A•••••••• I••• formerSep 26, 2003 to May 8, 2013 · Dallas, Tx
- E•••••••• A•••••••• L•• national BDJan 13, 1994 to Aug 22, 2002 · Addison, Tx
- F•••• A••••• A••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Feb 17, 2017, registered Feb 22, 2017 (5 days) · Other
- O••• W••••• A•••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left May 8, 2013, registered May 3, 2013 (-5 days) · Other
- E•••••••• A•••••••• L•• to O••• W••••• A•••••••• I•••left Aug 22, 2002, registered Sep 26, 2003 (400 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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address