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.
R•••••• G••• L••••
- N•••••• W••••• A••••••• state registered currentsince Aug 5, 2016 · Rowlett, Tx
- B••••••••• C•••••• M••••••••• L•• independent RIAApr 8, 2014 to Aug 10, 2016 · Rockwall, Tx
- L•••• I•• R•••••• G••• unclassifiedMar 30, 2012 to May 14, 2014 · Rockwall, Tx
- V•••••••• F••••••••• L•• formerSep 3, 2010 to Mar 16, 2012 · Dallas, Tx
- U•• F•••••••• S••••••••• L•• independent RIAMay 24, 2010 to Sep 7, 2010 · Dallas, Tx
- B••••••••• C•••••• M••••••••• L•• to N•••••• W••••• A•••••••left Aug 10, 2016, registered Aug 5, 2016 (-5 days) · Other
- L•••• I•• R•••••• G••• to B••••••••• C•••••• M••••••••• L••left May 14, 2014, registered Apr 8, 2014 (-36 days) · Other
- V•••••••• F••••••••• L•• to L•••• I•• R•••••• G•••left Mar 16, 2012, registered Mar 30, 2012 (14 days) · Other
- U•• F•••••••• S••••••••• L•• to V•••••••• F••••••••• L••left Sep 7, 2010, registered Sep 3, 2010 (-4 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
- STATE REGISTEREDderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address