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.
S•••• W••••• M••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 16, 2019 · Dallas, Tx
- S••••••••• A•••••• A•••••••• I••• formerJan 12, 2015 to Aug 16, 2019 · Dallas, Tx
- I•••••••• A•••••••• L•• BD affiliatedMar 2, 2012 to Jan 13, 2015 · Urbandale, Ia
- L•• F•••••••• L•• BD affiliatedSep 8, 2009 to Mar 15, 2012 · Sacramento, Ca
- A••••••••• S••••••••• C•••• unclassifiedDec 23, 2008 to Sep 8, 2009 · Dallas, Tx
- A••••••••• P••••••• I••••••••• A••••••• I•• unclassifiedDec 23, 2008 to Oct 13, 2009 · Boston, Ma
- T•• R••••••••• G••••• L•• formerDec 3, 2008 to Mar 30, 2009 · Dallas, Tx
- S•• A•••••••• I••• formerSep 18, 2008 to Dec 2, 2008 · Dallas, Tx
- T•• R••••••••• G•••• unclassifiedOct 18, 2006 to Dec 31, 2008 · Dallas, Tx
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Aug 16, 2019, registered Aug 16, 2019 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- I•••••••• A•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Jan 13, 2015, registered Jan 12, 2015 (-1 days) · Other · moved with a team
- L•• F•••••••• L•• to I•••••••• A•••••••• L••left Mar 15, 2012, registered Mar 2, 2012 (-13 days) · Other
- A••••••••• P••••••• I••••••••• A••••••• I•• to L•• F•••••••• L••left Oct 13, 2009, registered Sep 8, 2009 (-35 days) · Other
- A••••••••• S••••••••• C•••• to A••••••••• P••••••• I••••••••• A••••••• I••left Sep 8, 2009, registered Dec 23, 2008 (-259 days) · Other
- T•• R••••••••• G••••• L•• to A••••••••• S••••••••• C••••left Mar 30, 2009, registered Dec 23, 2008 (-97 days) · Other
- T•• R••••••••• G•••• to S•• A•••••••• I•••left Dec 31, 2008, registered Sep 18, 2008 (-104 days) · Other
- S•• A•••••••• I••• to T•• R••••••••• G••••• L••left Dec 2, 2008, registered Dec 3, 2008 (1 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