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••••• B••••• S•••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Feb 17, 2021 · Dallas, Tx
- B••• S••••••••• L•• formerJun 15, 2018 to Feb 17, 2021 · Charlotte, Nc
- U•• F•••••••• S•••••••• I••• independent RIAAug 26, 2016 to May 30, 2018 · Ft Worth, Tx
- B••• I••••••••• S•••••••• I••• formerApr 26, 2016 to Aug 1, 2016 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Apr 18, 2016 · Addison, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 9, 2008 to Oct 23, 2009 · Addison, Tx
- W•••• F•••• A••••••• wirehouseFeb 24, 2006 to Jan 2, 2008 · Plano, Tx
- C•••• I••••••••• S••••••• C•••• formerApr 11, 2003 to Mar 1, 2006 · Dallas, Tx
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S•••••••• I••• to B••• S••••••••• L••left May 30, 2018, registered Jun 15, 2018 (16 days) · Affiliated broker-dealer or bank to another
- B••• I••••••••• S•••••••• I••• to U•• F•••••••• S•••••••• I•••left Aug 1, 2016, registered Aug 26, 2016 (25 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• I••••••••• S•••••••• I•••left Apr 18, 2016, registered Apr 26, 2016 (8 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jan 2, 2008, registered Jan 9, 2008 (7 days) · Other
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••left Mar 1, 2006, registered Feb 24, 2006 (-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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address