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.
N•••••• L••• C•••••••
- R••••••••• P••••••• O• A•••••• independent RIA currentsince Jan 30, 2012 · Plano, Tx
- E•••• S••••••••• L•• BD affiliatedJan 27, 2009 to Feb 6, 2012 · Addison, Tx
- G•••••• S•••• W••••• S•••••••• L••• BD affiliatedOct 3, 2002 to Mar 2, 2007 · Dallas, Tx
- E•••• S••••••••• L•• to R••••••••• P••••••• O• A••••••left Feb 6, 2012, registered Jan 30, 2012 (-7 days) · Other
- G•••••• S•••• W••••• S•••••••• L••• to E•••• S••••••••• L••left Mar 2, 2007, registered Jan 27, 2009 (697 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