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.
A••••• R• B•••••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jun 10, 2019 · Mckinney, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDDec 7, 2017 to Jun 10, 2019 · Plano, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 18, 2014 · Amarillo, Tx
- M••••• S•••••• • C•• L•• unclassifiedApr 17, 2008 to Jun 1, 2009 · Amarillo, Tx
- A••••••••• F•••••••• S•••••••• L•• to R•••••• J•••• • A••••••••• I•••left Jun 10, 2019, registered Jun 10, 2019 (0 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Nov 18, 2014, registered Dec 7, 2017 (1115 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address