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.
N••••• R•••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Apr 27, 2022 · Fort Worth, Tx
- R•• C•••••• M••••••• L•• national BDMay 25, 2021 to Feb 4, 2022 · Dallas, Tx
- S••••••• BD affiliatedFeb 17, 2016 to Mar 31, 2021 · Little Rock, Ar
- W•••••• • R••• formerMar 4, 2015 to Jan 26, 2016 · Portsmouth, Nh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 9, 2011 to Feb 27, 2015 · Tulsa, Ok
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 3, 2011 · Oklahoma City, Ok
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Indianapolis, In
- M••••• S•••••• D• I••• unclassifiedJun 28, 2006 to Apr 2, 2007 · Oklahoma City, Ok
- R•• C•••••• M••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 4, 2022, registered Apr 27, 2022 (82 days) · Affiliated broker-dealer or bank to wirehouse
- S••••••• to R•• C•••••• M••••••• L••left Mar 31, 2021, registered May 25, 2021 (55 days) · Affiliated broker-dealer or bank to another
- W•••••• • R••• to S•••••••left Jan 26, 2016, registered Feb 17, 2016 (22 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••••• • R•••left Feb 27, 2015, registered Mar 4, 2015 (5 days) · Other
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 3, 2011, registered Jun 9, 2011 (6 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- N••••• R••••••• left R•• C•••••• M••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-04-27)Feb 4, 2022 · Advisor changed firm · fact
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