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.
M••••• L•• L•••••••
- C•••••• C•••••• A••••••• I••• state registered currentsince Jan 20, 2022 · Plano, Tx
- C•••••• C•••••• A••••••• I••• state registeredMay 7, 2018 to Dec 31, 2021 · Plano, Tx
- Q•••• C•••••• M••••••••• I••• formerMar 9, 2011 to May 10, 2018 · Dallas, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJun 25, 2009 to Dec 31, 2010 · Dallas, Tx
- Q•••• C•••••• M••••••••• I••• to C•••••• C•••••• A••••••• I•••left May 10, 2018, registered May 7, 2018 (-3 days) · RIA to a state-registered adviser
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to Q•••• C•••••• M••••••••• I•••left Dec 31, 2010, registered Mar 9, 2011 (68 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address