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.
T••• A• S••••••
- A•••••• R••••••• C•••••• independent RIA currentsince Jul 23, 2015 · Mansfield, Tx
- R•••••• J•••• • A••••••••• I••• national BDJan 6, 2014 to Aug 12, 2015 · Duncanville, Tx
- E••••• J•••• national BDFeb 9, 2007 to Dec 20, 2013 · Mansfield, Tx
- R•••••• J•••• • A••••••••• I••• to A•••••• R••••••• C••••••left Aug 12, 2015, registered Jul 23, 2015 (-20 days) · Other
- E••••• J•••• to R•••••• J•••• • A••••••••• I•••left Dec 20, 2013, registered Jan 6, 2014 (17 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address