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.
C••••••• I•• N••••••
- P••••••••• S••••••••• C••••••••• independent RIA currentsince Jan 29, 2014 · Richardson, Tx
- G•• S••••••••• I••• BD affiliatedMar 22, 2010 to Jan 14, 2014 · Richardson, Tx
- G•••• A••••••• A•••••••• I••• formerMay 23, 2007 to Mar 22, 2010 · Cincinnati, Oh
- V••• F•••••••• P•••••••• L•• formerMar 8, 2006 to May 1, 2007 · Dallas, Tx
- P••••••••• S••••••••• C••••••••• independent RIAJun 30, 2005 to Mar 3, 2006 · Carrollton, Tx
- G•• S••••••••• I••• to P••••••••• S••••••••• C•••••••••left Jan 14, 2014, registered Jan 29, 2014 (15 days) · Other
- G•••• A••••••• A•••••••• I••• to G•• S••••••••• I•••left Mar 22, 2010, registered Mar 22, 2010 (0 days) · Other
- V••• F•••••••• P•••••••• L•• to G•••• A••••••• A•••••••• I•••left May 1, 2007, registered May 23, 2007 (22 days) · Other
- P••••••••• S••••••••• C••••••••• to V••• F•••••••• P•••••••• L••left Mar 3, 2006, registered Mar 8, 2006 (5 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address