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.
E••••• O• M•••••
- D••••••••• A••••••• independent RIA currentsince Apr 7, 2021 · Lewisville, Tx
- B••• S••••••••• L•• formerMar 13, 2019 to Aug 5, 2019 · Charlotte, Nc
- C•••••• A••••••• S•••••••• L•• independent RIASep 22, 2017 to Feb 1, 2018 · Mickinney, Tx
- B••••• W••••• M••••••••• L•• independent RIAApr 17, 2014 to May 24, 2017 · Lewisville, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 12, 2010 to Sep 3, 2013 · Dallas, Tx
- W•••• F•••• A••••••• wirehouseFeb 26, 2008 to Feb 12, 2010 · Addison, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 8, 1997 to Feb 26, 2008 · Dallas, Tx
- B••• S••••••••• L•• to D••••••••• A•••••••left Aug 5, 2019, registered Apr 7, 2021 (611 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••• A••••••• S•••••••• L•• to B••• S••••••••• L••left Feb 1, 2018, registered Mar 13, 2019 (405 days) · RIA to affiliated broker-dealer or bank
- B••••• W••••• M••••••••• L•• to C•••••• A••••••• S•••••••• L••left May 24, 2017, registered Sep 22, 2017 (121 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••••• W••••• M••••••••• L••left Sep 3, 2013, registered Apr 17, 2014 (226 days) · Wirehouse to independent RIA
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 12, 2010, registered Feb 12, 2010 (0 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Feb 26, 2008, registered Feb 26, 2008 (0 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address