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.
B•••• T•••••• M•••••
- M••••••• I••••••••• N•••••• I••• BD affiliated currentsince Jun 27, 2008 · Dallas, Tx
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Jul 3, 2008 · Midland, Tx
- A• G• E•••••• • S•••• I••• unclassifiedMay 3, 2004 to Jan 1, 2008 · Midland, Tx
- M••••• S•••••• D• I••• unclassifiedAug 27, 2002 to Apr 20, 2004 · Dallas, Tx
- W•••• F•••• A••••••• to M••••••• I••••••••• N•••••• I•••left Jul 3, 2008, registered Jun 27, 2008 (-6 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to A• G• E•••••• • S•••• I•••left Apr 20, 2004, registered May 3, 2004 (13 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address