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.
E••••• H••••••
- S•••••• M••••• L•• independent RIA currentsince Mar 25, 2020 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 12, 2017 to Apr 2, 2018 · Dallas, Tx
- M••••• S•••••• wirehouseNov 3, 2015 to Feb 17, 2017 · Dallas, Tx
- D•••• I••••••••• M••••••••• L•• unclassifiedMay 28, 2008 to Nov 25, 2014 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• M••••• L••left Apr 2, 2018, registered Mar 25, 2020 (723 days) · Wirehouse to independent RIA
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 17, 2017, registered May 12, 2017 (84 days) · Wirehouse to wirehouse
- D•••• I••••••••• M••••••••• L•• to M••••• S••••••left Nov 25, 2014, registered Nov 3, 2015 (343 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address