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••• S•••• C•••
- M••••••• I••••••••• N•••••• I••• BD affiliated currentsince May 18, 2012 · Dallas, Tx
- L•• F•••••••• L•• BD affiliatedDec 8, 2010 to May 8, 2012 · Wichita Falls, Tx
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Dec 2, 2010 · Wichita Falls, Tx
- A• G• E•••••• • S•••• I••• unclassifiedJan 23, 1998 to Jan 1, 2008 · Wichita Falls, Tx
- L•• F•••••••• L•• to M••••••• I••••••••• N•••••• I•••left May 8, 2012, registered May 18, 2012 (10 days) · Other
- W•••• F•••• A••••••• to L•• F•••••••• L••left Dec 2, 2010, registered Dec 8, 2010 (6 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address