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.
S•••• A••• S•••••••
- W••••••••• A•••••••• L•• independent RIA currentsince Apr 30, 2013 · Plano, Tx
- I••••••••• F•••••••• P••••••• BD affiliatedAug 2, 2012 to Dec 31, 2013 · Plano, Tx
- P•••••••• D••••••••• I••••••••• S••••••• C•••• formerMay 2, 2011 to Jul 20, 2012 · Plano, Tx
- C••••••••• C•••••• A••••••• formerJan 1, 2011 to May 2, 2011 · St Petersburg, Fl
- C••••••••• C•••••• A••••••• formerNov 5, 2010 to Dec 31, 2010 · St Petersburg, Fl
- B••••• I••••••••• A••••••• L•• unclassifiedSep 25, 2009 to Nov 5, 2010 · Chicago, Il
- A••••••••• F•••••••• S•••••••• L•• national BDNov 18, 1996 to Sep 29, 2009 · Plano, Tx
- I••••••••• F•••••••• P••••••• to W••••••••• A•••••••• L••left Dec 31, 2013, registered Apr 30, 2013 (-245 days) · Other
- P•••••••• D••••••••• I••••••••• S••••••• C•••• to I••••••••• F•••••••• P•••••••left Jul 20, 2012, registered Aug 2, 2012 (13 days) · Other
- C••••••••• C•••••• A••••••• to P•••••••• D••••••••• I••••••••• S••••••• C••••left May 2, 2011, registered May 2, 2011 (0 days) · Other
- B••••• I••••••••• A••••••• L•• to C••••••••• C•••••• A•••••••left Nov 5, 2010, registered Nov 5, 2010 (0 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to B••••• I••••••••• A••••••• L••left Sep 29, 2009, registered Sep 25, 2009 (-4 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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address