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••••• O•••••••
- P•••••••• S••••••••• I••• BD affiliated currentsince Feb 29, 2016 · Addison, Tx
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to Dec 31, 2015 · Dallas, Tx
- N•• E•••••• S••••••••• C••••••••• formerDec 15, 2009 to Jan 2, 2015 · Dallas, Tx
- O• I••••••••• M••••••••• C• BD affiliatedMay 27, 2008 to Dec 31, 2009 · Dallas, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 20, 2006 to Jul 12, 2006 · Ft Worth, Tx
- T• A••••••••• I••• formerJun 20, 2006 to Jul 12, 2006 · Fort Worth, Tx
- E•••••• A••••••• S•••••••• I••• unclassifiedFeb 26, 2001 to Oct 31, 2002 · Lewisville , Tx
- M•• F•••••••• S•••••••• I••• to P•••••••• S••••••••• I•••left Dec 31, 2015, registered Feb 29, 2016 (60 days) · Other
- N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move
- O• I••••••••• M••••••••• C• to N•• E•••••• S••••••••• C•••••••••left Dec 31, 2009, registered Dec 15, 2009 (-16 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 12, 2006, registered Jun 20, 2006 (-22 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jul 12, 2006, registered Jun 20, 2006 (-22 days) · Other
- E•••••• A••••••• S•••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 31, 2002, registered Jun 20, 2006 (1328 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