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.
M•••••• A••••• R••••
- G••••••• W••••• M••••••••• BD affiliated currentsince Mar 19, 2015 · Arden Hills, Mn
- G••••••• A•••••••• L•• independent RIAAug 19, 2013 to Mar 11, 2015 · Plana, Tx
- S••••• A••• I••••••••• A•••••• S•••••••• I••• formerOct 2, 2006 to Dec 31, 2012 · Plano, Tx
- S••••••••• A•••••• A•••••••• I••• formerJun 1, 2001 to Sep 22, 2006 · Dallas, Tx
- G••••••• A•••••••• L•• to G••••••• W••••• M•••••••••left Mar 11, 2015, registered Mar 19, 2015 (8 days) · Other · moved with a team
- S••••• A••• I••••••••• A•••••• S•••••••• I••• to G••••••• A•••••••• L••left Dec 31, 2012, registered Aug 19, 2013 (231 days) · Other
- S••••••••• A•••••• A•••••••• I••• to S••••• A••• I••••••••• A•••••• S•••••••• I•••left Sep 22, 2006, registered Oct 2, 2006 (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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address