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.
E•••• G•••••••
- W•••• F•••• A••••••• wirehouse currentsince Nov 2, 2018 · Columbia, Md
- P•• M•••••• A•••••• S••••••••• I••• formerOct 31, 2016 to Nov 2, 2018 · Colleyville, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 24, 2008 to Oct 20, 2016 · Fort Worth, Tx
- W•••• F•••• A••••••• wirehouseFeb 4, 2008 to Nov 24, 2008 · Fort Worth, Tx
- P•• M•••••• A•••••• S••••••••• I••• to W•••• F•••• A•••••••left Nov 2, 2018, registered Nov 2, 2018 (0 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• M•••••• A•••••• S••••••••• I•••left Oct 20, 2016, registered Oct 31, 2016 (11 days) · Other
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 24, 2008, registered Nov 24, 2008 (0 days) · Wirehouse to wirehouse
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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address