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.
S••• E••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 1, 2012 · Carrollton, Tx
- C•••• I••••••••• S••••••• C•••• formerMay 26, 2010 to Oct 1, 2012 · Dallas, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to May 19, 2010 · Dallas, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 6, 2007 to Jun 1, 2009 · Dallas, Tx
- G••••••••• W••••• A••••••• independent RIAAug 31, 2005 to Feb 26, 2007 · Plano, Tx
- S•••••••• A••••••• L•• national BDMar 6, 2001 to Sep 9, 2005 · Dallas, Tx
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to C•••• I••••••••• S••••••• C••••left May 19, 2010, registered May 26, 2010 (7 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- G••••••••• W••••• A••••••• to C•••••••• G••••• M•••••• I•••left Feb 26, 2007, registered Jun 6, 2007 (100 days) · Other
- S•••••••• A••••••• L•• to G••••••••• W••••• A•••••••left Sep 9, 2005, registered Aug 31, 2005 (-9 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address