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.
A••••• L•••• H•••••
- C•••• S•• F••••••••• L• independent RIA currentsince Oct 11, 2018 · Prosper, Tx
- L•• F•••••••• L•• BD affiliatedMay 30, 2006 to Dec 20, 2018 · Plano, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDMar 24, 1998 to May 30, 2006 · Plano, Tx
- L•• F•••••••• L•• to C•••• S•• F••••••••• L•left Dec 20, 2018, registered Oct 11, 2018 (-70 days) · RIA to RIA · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left May 30, 2006, registered May 30, 2006 (0 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