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.
M•••••• J••• C•••••••
- I• C•••••• M••••••••• state registered currentsince Jan 13, 2020 · Dallas, Tx
- T•••••••• A••••••• G••••• I••• BD affiliatedJul 6, 2018 to Dec 2, 2019 · Dallas, Tx
- K••••• A•••••••• I••• BD affiliatedApr 8, 2008 to Jun 29, 2018 · Garland, Tx
- T•••• A•••••••• L•• formerSep 21, 1999 to Dec 16, 2004 · Garland, Tx
- T•••••••• A••••••• G••••• I••• to I• C•••••• M•••••••••left Dec 2, 2019, registered Jan 13, 2020 (42 days) · Affiliated broker-dealer or bank to a state-registered adviser
- K••••• A•••••••• I••• to T•••••••• A••••••• G••••• I•••left Jun 29, 2018, registered Jul 6, 2018 (7 days) · Affiliated broker-dealer or bank to another
- T•••• A•••••••• L•• to K••••• A•••••••• I•••left Dec 16, 2004, registered Apr 8, 2008 (1209 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
- STATE REGISTEREDderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address