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••••• H••••
- T••••••• A•••••• N••••••• L•• BD affiliated currentsince Oct 22, 2021 · Minneapolis, Mn
- W•••• F•••• A••••••• wirehouseAug 23, 2021 to Oct 20, 2021 · Irving, Tx
- C•••••• S••••• • C••• I••• national BDApr 13, 2021 to May 18, 2021 · Phoenix, Az
- B•••••••• L•• independent RIAOct 10, 2019 to Jan 22, 2021 · Dallas, Tx
- J••• M••••• S••••••••• L•• wirehouseJun 13, 2019 to Sep 25, 2019 · Plano, Tx
- P•• S••••••• C•••••• M••••••••• L•• independent RIAFeb 28, 2019 to Apr 15, 2019 · Plano, Tx
- C•••••• O•• A•••••••• L•• formerMar 18, 2018 to Feb 11, 2019 · Plano, Tx
- W•••• F•••• A••••••• to T••••••• A•••••• N••••••• L••left Oct 20, 2021, registered Oct 22, 2021 (2 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••• S••••• • C••• I••• to W•••• F•••• A•••••••left May 18, 2021, registered Aug 23, 2021 (97 days) · Affiliated broker-dealer or bank to wirehouse
- B•••••••• L•• to C•••••• S••••• • C••• I•••left Jan 22, 2021, registered Apr 13, 2021 (81 days) · RIA to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to B•••••••• L••left Sep 25, 2019, registered Oct 10, 2019 (15 days) · Wirehouse to independent RIA
- P•• S••••••• C•••••• M••••••••• L•• to J••• M••••• S••••••••• L••left Apr 15, 2019, registered Jun 13, 2019 (59 days) · RIA to wirehouse
- C•••••• O•• A•••••••• L•• to P•• S••••••• C•••••• M••••••••• L••left Feb 11, 2019, registered Feb 28, 2019 (17 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