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.
J•••• E••••• H•••••
- W•••• F•••• A••••••• wirehouse currentsince Aug 14, 2017 · Weatherford, Tx
- S••••••••• A••••••• G•••• formerMar 23, 2016 to Sep 6, 2017 · Abilene, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDJan 19, 2016 to Mar 11, 2016 · Abilene, Tx
- F•••• A••••• A••••••• S•••••••• I••• formerSep 30, 2010 to Nov 12, 2014 · Abilene, Tx
- G•••••••• I••••••••• M••••••••• I••• unclassifiedFeb 10, 2005 to Oct 7, 2010 · Abilene, Tx
- X•••• F•••••••• P•••••••• I••• unclassifiedJan 13, 2003 to Dec 31, 2004 · Abilene, Tx
- X•••• I••••••••• S•••••••• I••• unclassifiedFeb 12, 2002 to Jan 15, 2003 · Abilene, Tx
- S••••••••• A••••••• G•••• to W•••• F•••• A•••••••left Sep 6, 2017, registered Aug 14, 2017 (-23 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to S••••••••• A••••••• G••••left Mar 11, 2016, registered Mar 23, 2016 (12 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- F•••• A••••• A••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Nov 12, 2014, registered Jan 19, 2016 (433 days) · Other
- G•••••••• I••••••••• M••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left Oct 7, 2010, registered Sep 30, 2010 (-7 days) · Other
- X•••• F•••••••• P•••••••• I••• to G•••••••• I••••••••• M••••••••• I•••left Dec 31, 2004, registered Feb 10, 2005 (41 days) · Other
- X•••• I••••••••• S•••••••• I••• to X•••• F•••••••• P•••••••• I•••left Jan 15, 2003, registered Jan 13, 2003 (-2 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address