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.
- C••••••• institutional currentsince Oct 2, 2019 · San Antonio, Tx
- J••• M••••• S••••••••• L•• wirehouseMay 21, 2012 to Nov 16, 2017 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 13, 2011 to Apr 17, 2012 · Dallas, Tx
- 1•• G••••• A••••••• I•• formerOct 29, 2010 to Sep 23, 2011 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 4, 2000 to Sep 18, 2007 · Dallas, Tx
- J••• M••••• S••••••••• L•• to C•••••••left Nov 16, 2017, registered Oct 2, 2019 (685 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Apr 17, 2012, registered May 21, 2012 (34 days) · Wirehouse to wirehouse
- 1•• G••••• A••••••• I•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 23, 2011, registered Oct 13, 2011 (20 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to 1•• G••••• A••••••• I••left Sep 18, 2007, registered Oct 29, 2010 (1137 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
- Institutional managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address