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.
B•••• L•••••• Q••••
- W•••• F•••• A••••••• wirehouse currentsince Jul 13, 2016 · Dallas, Tx
- C•••••• W••••• M••••••••• formerDec 4, 2012 to Jul 12, 2013 · Dallas, Tx
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerSep 16, 2010 to Jun 7, 2011 · Forth Worth, Tx
- Q•••• C•••••• M••••••••• I••• formerMay 22, 2008 to Dec 1, 2008 · Dallas, Tx
- C•••••• W••••• M••••••••• to W•••• F•••• A•••••••left Jul 12, 2013, registered Jul 13, 2016 (1097 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to C•••••• W••••• M•••••••••left Jun 7, 2011, registered Dec 4, 2012 (546 days) · Other
- Q•••• C•••••• M••••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Dec 1, 2008, registered Sep 16, 2010 (654 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
- Wirehousederived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address