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.
T•••••• M•••••• K•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jul 31, 2012 · Dallas, Tx
- W•••• F•••• A••••••• wirehouseFeb 27, 2004 to Aug 1, 2012 · Dallas, Tx
- C••••• P•••••••• L••• formerNov 8, 2002 to Feb 25, 2004 · Dallas, Tx
- C••••• P•••••••• L••• unclassifiedMay 23, 2002 to Dec 12, 2002 · Dallas, Tx
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Aug 1, 2012, registered Jul 31, 2012 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- C••••• P•••••••• L••• to W•••• F•••• A•••••••left Feb 25, 2004, registered Feb 27, 2004 (2 days) · Other
- C••••• P•••••••• L••• to C••••• P•••••••• L•••left Dec 12, 2002, registered Nov 8, 2002 (-34 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
- 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