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•••••• T•••••• K•••
- W•••• F•••• A••••••• wirehouse currentsince Jan 29, 2018 · Fort Worth, Tx
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Nov 6, 2017 · Flower Mound, Tx
- C•••• I••••••••• S••••••• C•••• formerNov 11, 2009 to Oct 1, 2012 · Highland Village, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 27, 2007 to Nov 4, 2009 · Frisco, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 23, 2004 to Aug 4, 2007 · Plano, Tx
- E•••••••• A•••••••• L•• national BDFeb 25, 2002 to Dec 9, 2003 · Dallas, Tx
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Nov 6, 2017, registered Jan 29, 2018 (84 days) · Wirehouse to wirehouse · moved with a team
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••left Nov 4, 2009, registered Nov 11, 2009 (7 days) · Other
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 4, 2007, registered Jul 27, 2007 (-8 days) · Other
- E•••••••• A•••••••• L•• to C•••••••• G••••• M•••••• I•••left Dec 9, 2003, registered Feb 23, 2004 (76 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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address