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.
D•••• J••••• W••••••
- W••••••• D•••• state registered currentsince Jun 11, 2010 · Flower Mound, Tx
- L•• F•••••••• L•• BD affiliatedMay 7, 2004 to Dec 31, 2005 · Flower Mound, Tx
- S••••••• A•• A••••••••• unclassifiedJan 5, 2004 to Dec 31, 2005 · Flower Mound, Tx
- C••••• A••••••• S•••••••• I•• state registeredSep 1, 2001 to Dec 31, 2003 · Flower Mound, Tx
- S••••••• A•• A••••••••• to L•• F•••••••• L••left Dec 31, 2005, registered May 7, 2004 (-603 days) · Other
- L•• F•••••••• L•• to W••••••• D••••left Dec 31, 2005, registered Jun 11, 2010 (1623 days) · Other
- C••••• A••••••• S•••••••• I•• to S••••••• A•• A•••••••••left Dec 31, 2003, registered Jan 5, 2004 (5 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
- STATE REGISTEREDderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address