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.
A•• S•••••• N•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince May 29, 2015 · Richardson, Tx
- F••••• F••••••••• L•• independent RIAJan 6, 2014 to May 29, 2015 · Dallas, Tx
- L•• F•••••••• L•• BD affiliatedMar 26, 2013 to Jun 5, 2015 · Dallas, Tx
- M••••• S•••••• wirehouseAug 18, 2009 to Apr 10, 2013 · Plano, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 23, 2009 · Plano, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 26, 2007 to Jun 1, 2009 · Mckinney, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDApr 5, 1999 to Apr 11, 2003 · Seattle, Wa
- L•• F•••••••• L•• to F••••• F••••••••• L••left Jun 5, 2015, registered Jan 6, 2014 (-515 days) · Other
- F••••• F••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left May 29, 2015, registered May 29, 2015 (0 days) · Other
- M••••• S•••••• to L•• F•••••••• L••left Apr 10, 2013, registered Mar 26, 2013 (-15 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to C•••••••• G••••• M•••••• I•••left Apr 11, 2003, registered Jul 26, 2007 (1567 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
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address