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•••••• M•••• F•••••••••
- S•••••••• 4• W••••• independent RIA currentsince Apr 29, 2019 · Plano, Tx
- E••••••• W••••• A••••••• formerDec 23, 2015 to Feb 19, 2019 · Plano, Tx
- E•••• S••••••••• L•• BD affiliatedApr 27, 2010 to Jan 13, 2016 · Dallas, Tx
- G•••••• S•••• W••••• S•••••••• L••• BD affiliatedMar 30, 2001 to Jan 17, 2007 · Dallas, Tx
- E••••••• W••••• A••••••• to S•••••••• 4• W•••••left Feb 19, 2019, registered Apr 29, 2019 (69 days) · Other
- E•••• S••••••••• L•• to E••••••• W••••• A•••••••left Jan 13, 2016, registered Dec 23, 2015 (-21 days) · Other
- G•••••• S•••• W••••• S•••••••• L••• to E•••• S••••••••• L••left Jan 17, 2007, registered Apr 27, 2010 (1196 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address