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.
J••••• P••• W•••••
- W•••••• B•••• • C•••••• L••••• BD affiliated currentsince Apr 17, 2018 · Chicago, Il
- F•••• C•••••• A••••••• S••••••• BD affiliatedDec 15, 2015 to Oct 12, 2017 · Fort Worth, Tx
- H•••• F•••••••• formerMar 6, 2010 to Apr 13, 2018 · Lincolnshire, Il
- F•••• C•••••• F•••••••• P•••••••• I••• formerNov 10, 2008 to Dec 15, 2015 · Fort Worth, Tx
- S••••••• G•••• C•••••• unclassifiedNov 1, 2007 to Oct 6, 2008 · Dallas, Tx
- B•• I••••••••• C••••• I••• unclassifiedDec 2, 2005 to Nov 1, 2007 · Dallas, Tx
- L••••••• F•••••••• S•••••••• I••• unclassifiedMar 7, 2005 to Dec 13, 2005 · Dallas, Tx
- P••••••• L•• unclassifiedMar 7, 2005 to Dec 13, 2005 · Dallas, Tx
- H•••• F•••••••• to F•••• C•••••• A••••••• S•••••••left Apr 13, 2018, registered Dec 15, 2015 (-850 days) · Other
- F•••• C•••••• A••••••• S••••••• to W•••••• B•••• • C•••••• L•••••left Oct 12, 2017, registered Apr 17, 2018 (187 days) · Other
- F•••• C•••••• F•••••••• P•••••••• I••• to H•••• F••••••••left Dec 15, 2015, registered Mar 6, 2010 (-2110 days) · Other
- S••••••• G•••• C•••••• to F•••• C•••••• F•••••••• P•••••••• I•••left Oct 6, 2008, registered Nov 10, 2008 (35 days) · Other
- B•• I••••••••• C••••• I••• to S••••••• G•••• C••••••left Nov 1, 2007, registered Nov 1, 2007 (0 days) · Other
- L••••••• F•••••••• S•••••••• I••• to P••••••• L••left Dec 13, 2005, registered Mar 7, 2005 (-281 days) · Other
- P••••••• L•• to B•• I••••••••• C••••• I•••left Dec 13, 2005, registered Dec 2, 2005 (-11 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address