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••••••••• B•••••
- E••••• J•••• national BD currentsince May 27, 2016 · Bartonville, Tx
- U••• F•••••••• P••••••• S••••••• formerJul 27, 2012 to Jun 2, 2016 · Addison, Tx
- W•••• F•••• A••••••• wirehouseJul 25, 2006 to Sep 22, 2009 · Addison, Tx
- U••• F•••••••• P••••••• S••••••• to E••••• J••••left Jun 2, 2016, registered May 27, 2016 (-6 days) · Other
- W•••• F•••• A••••••• to U••• F•••••••• P••••••• S•••••••left Sep 22, 2009, registered Jul 27, 2012 (1039 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address