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.
B••••••• J•••••• V••••••••
- V•••••••• I••••••••• L•• former currentsince Jun 18, 2010 · Dallas, Tx
- R•••••• J•••• • A••••••••• I••• national BDFeb 13, 2009 to Jun 22, 2010 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 29, 2000 to Feb 17, 2009 · Dallas, Tx
- R•••••• J•••• • A••••••••• I••• to V•••••••• I••••••••• L••left Jun 22, 2010, registered Jun 18, 2010 (-4 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Feb 17, 2009, registered Feb 13, 2009 (-4 days) · Wirehouse to affiliated broker-dealer or bank
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
- Former SEC-registered adviserderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address