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.
C•••• A•••• L•••
- F•••••• W••••• M••••••••• independent RIA currentsince Nov 15, 2011 · Plano, Tx
- W•• A•••••••• L• formerMar 2, 2009 to Jun 17, 2015 · Plano, Tx
- B••• C•••••• I••••••••• S••••••••• I•• unclassifiedSep 21, 2005 to Dec 3, 2008 · Plano, Tx
- U•• F•••••••• S••••••• I••• wirehouseOct 25, 2002 to Sep 22, 2005 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 19, 1999 to Oct 29, 2002 · Dallas, Tx
- W•• A•••••••• L• to F•••••• W••••• M•••••••••left Jun 17, 2015, registered Nov 15, 2011 (-1310 days) · Other
- B••• C•••••• I••••••••• S••••••••• I•• to W•• A•••••••• L•left Dec 3, 2008, registered Mar 2, 2009 (89 days) · Other
- U•• F•••••••• S••••••• I••• to B••• C•••••• I••••••••• S••••••••• I••left Sep 22, 2005, registered Sep 21, 2005 (-1 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Oct 29, 2002, registered Oct 25, 2002 (-4 days) · Wirehouse to wirehouse
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