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••••• E•••••• G•••••••••
- G••••••••• S•••• C•••••• M••••••••• L•• independent RIA currentsince Nov 9, 2009 · Dallas, Tx
- R•••••• J•••• • A••••••••• I••• national BDApr 6, 2005 to Sep 17, 2009 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 1, 2002 to Mar 29, 2005 · Dallas, Tx
- R•••••• J•••• • A••••••••• I••• to G••••••••• S•••• C•••••• M••••••••• L••left Sep 17, 2009, registered Nov 9, 2009 (53 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Mar 29, 2005, registered Apr 6, 2005 (8 days) · Wirehouse to affiliated broker-dealer or bank
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address