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••• R•••••• H•••
- O•••• W•••••• I••• BD affiliated currentsince Jun 10, 2016 · Dallas, Tx
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedSep 12, 2009 to May 13, 2016 · Dallas, Tx
- A•• S•••••••• I••• formerJun 24, 2009 to Jun 5, 2012 · Dallas, Tx
- F•••••••• A••••••• G•••• L••••• independent RIAOct 25, 2005 to Jan 2, 2013 · Dallas, Tx
- T••••••••• F•••••••• A•••••••• I••• unclassifiedJun 1, 1999 to Sep 4, 2009 · Dallas, Tx
- T••••••••• F•••••••• A•••••••• L•• to O•••• W•••••• I•••left May 13, 2016, registered Jun 10, 2016 (28 days) · Other
- F•••••••• A••••••• G•••• L••••• to A•• S•••••••• I•••left Jan 2, 2013, registered Jun 24, 2009 (-1288 days) · Other
- A•• S•••••••• I••• to T••••••••• F•••••••• A•••••••• L••left Jun 5, 2012, registered Sep 12, 2009 (-997 days) · Other
- T••••••••• F•••••••• A•••••••• I••• to F•••••••• A••••••• G•••• L•••••left Sep 4, 2009, registered Oct 25, 2005 (-1410 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address