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.
W•••••• A••••• T••••
- A•••• C•••• W••••• M••••••••• L•• state registered currentsince May 15, 2012 · Southlake, Tx
- I••••••••• P••••••••• I••• formerMar 30, 2010 to Feb 27, 2012 · San Antonio, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedApr 30, 2007 to Sep 2, 2008 · Colleyville, Tx
- P•••• S••••••••• L•• no RAUMFeb 27, 1995 to Apr 16, 2007 · Dallas, Tx
- I••••••••• P••••••••• I••• to A•••• C•••• W••••• M••••••••• L••left Feb 27, 2012, registered May 15, 2012 (78 days) · Other
- M•• I•••••••• S•••••••• L•• to I••••••••• P••••••••• I•••left Sep 2, 2008, registered Mar 30, 2010 (574 days) · Other
- P•••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Apr 16, 2007, registered Apr 30, 2007 (14 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address