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.
T•••• L••••• T••••••••
- L•••• F••• A••••••• S••••••• BD affiliated currentsince Dec 6, 2016 · Dallas, Tx
- W•••• F•••• A••••••• wirehouseDec 10, 2009 to Dec 1, 2016 · Dallas, Tx
- F••••••• P••••••• T•••• C••••••• F•• unclassifiedApr 26, 2005 to Mar 28, 2007 · Westlake, Tx
- S•••••••• A••••••• L•• national BDApr 11, 2002 to Nov 19, 2009 · Westlake, Tx
- W•••• F•••• A••••••• to L•••• F••• A••••••• S•••••••left Dec 1, 2016, registered Dec 6, 2016 (5 days) · Other
- S•••••••• A••••••• L•• to F••••••• P••••••• T•••• C••••••• F••left Nov 19, 2009, registered Apr 26, 2005 (-1668 days) · Other
- F••••••• P••••••• T•••• C••••••• F•• to W•••• F•••• A•••••••left Mar 28, 2007, registered Dec 10, 2009 (988 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