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.
- W•••• F•••• A••••••• wirehouse currentsince Dec 17, 2015 · Dallas, Tx
- C••••• S••••• S••••••••• •••• L•• formerMay 19, 2015 to Dec 28, 2015 · Dallas, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 28, 2002 to May 17, 2004 · Garland, Tx
- M••••• S•••••• D• I••• unclassifiedFeb 3, 1999 to Aug 22, 2002 · Dallas, Tx
- C••••• S••••• S••••••••• •••• L•• to W•••• F•••• A•••••••left Dec 28, 2015, registered Dec 17, 2015 (-11 days) · Other · moved with a team
- B••• O• A•••••• I••••••••• S•••••••• I••• to C••••• S••••• S••••••••• •••• L••left May 17, 2004, registered May 19, 2015 (4019 days) · Other
- M••••• S•••••• D• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Aug 22, 2002, registered Aug 28, 2002 (6 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address