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.
T•••• R•••• M•••••••••
- W•••• F•••• A••••••• wirehouse currentsince Apr 6, 2023 · Washington, Dc
- A••••••••• F•••••••• S•••••••• L•• national BDDec 10, 2018 to Mar 15, 2023 · Dallas, Tx
- W•••• F•••• A••••••• wirehouseMar 1, 2012 to Dec 20, 2017 · New York, Ny
- M••••• S•••••• wirehouseJun 1, 2009 to May 23, 2011 · Dallas, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 3, 2006 to Jun 1, 2009 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 3, 1999 to Oct 20, 2006 · Dallas, Tx
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Mar 15, 2023, registered Apr 6, 2023 (22 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Dec 20, 2017, registered Dec 10, 2018 (355 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to W•••• F•••• A•••••••left May 23, 2011, registered Mar 1, 2012 (283 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Oct 20, 2006, registered Nov 3, 2006 (14 days) · Other
- T•••• R•••• M••••••••• left A••••••••• F•••••••• S•••••••• L•• for W•••• F•••• A••••••• (registered 2023-04-06)Mar 15, 2023 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address