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••••••••• J•••• W••••••••
- P••••••• F•••••••• S•••••••• I••• BD affiliated currentsince Nov 26, 2019 · Dallas, Tx
- W•••• F•••• A••••••• wirehouseMay 5, 2011 to Jan 2, 2014 · Nacogdoches, Tx
- M•••••• I••••••••• C•••••• L•• formerJul 18, 2005 to Feb 25, 2014 · Omaha, Ne
- S••••••••• A•••••• A•••••••• I••• formerOct 1, 2004 to Jul 8, 2005 · Omaha, Ne
- M•••••• I••••••••• C•••••• L•• to W•••• F•••• A•••••••left Feb 25, 2014, registered May 5, 2011 (-1027 days) · Other
- W•••• F•••• A••••••• to P••••••• F•••••••• S•••••••• I•••left Jan 2, 2014, registered Nov 26, 2019 (2154 days) · Wirehouse to independent RIA
- S••••••••• A•••••• A•••••••• I••• to M•••••• I••••••••• C•••••• L••left Jul 8, 2005, registered Jul 18, 2005 (10 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address