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••••• A••• P•••
- W•••• F•••• A••••••• wirehouse currentsince Feb 20, 2015 · Sherman, Tx
- T••• N•••• A•••••••• L•• independent RIAAug 3, 2006 to Jun 18, 2007 · Dallas, Tx
- A••••••• S••••••••• G••••• I••• unclassifiedMay 30, 2006 to Nov 1, 2006 · Dallas, Tx
- E••••• J•••• national BDDec 6, 2004 to Nov 30, 2005 · Dallas, Tx
- E•••••••• A•••••••• L•• national BDAug 1, 2003 to Nov 24, 2004 · Dallas, Tx
- T••• N•••• A•••••••• L•• to W•••• F•••• A•••••••left Jun 18, 2007, registered Feb 20, 2015 (2804 days) · Other
- A••••••• S••••••••• G••••• I••• to T••• N•••• A•••••••• L••left Nov 1, 2006, registered Aug 3, 2006 (-90 days) · Other
- E••••• J•••• to A••••••• S••••••••• G••••• I•••left Nov 30, 2005, registered May 30, 2006 (181 days) · Other
- E•••••••• A•••••••• L•• to E••••• J••••left Nov 24, 2004, registered Dec 6, 2004 (12 days) · Affiliated broker-dealer or bank to another
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address