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.
- F••••• I••••••••• independent RIA currentsince Aug 14, 2018 · Plano, Tx
- J••• M••••• S••••••••• L•• wirehouseSep 21, 2016 to Aug 22, 2018 · Dallas, Tx
- U••• F•••••••• P••••••• S••••••• formerJul 18, 2012 to Sep 14, 2016 · Addison, Tx
- L•• F•••••••• L•• BD affiliatedJan 28, 2011 to Jul 5, 2012 · Plano, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 8, 1998 to Jan 31, 2011 · Mckinney, Tx
- J••• M••••• S••••••••• L•• to F••••• I•••••••••left Aug 22, 2018, registered Aug 14, 2018 (-8 days) · Wirehouse to independent RIA
- U••• F•••••••• P••••••• S••••••• to J••• M••••• S••••••••• L••left Sep 14, 2016, registered Sep 21, 2016 (7 days) · Other
- L•• F•••••••• L•• to U••• F•••••••• P••••••• S•••••••left Jul 5, 2012, registered Jul 18, 2012 (13 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Jan 31, 2011, registered Jan 28, 2011 (-3 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address