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.
E••• O•••••• A•••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 27, 2012 · Fort Worth, Tx
- E•• I••••••••• A•••••• C••••••••• unclassifiedJan 3, 2012 to Feb 28, 2012 · Fort Worth, Tx
- E•• I••••••••• A•••••• C••••••••• unclassifiedAug 24, 2009 to Dec 31, 2011 · Irving, Tx
- W•• W••••• A••••••• formerMar 31, 2009 to Jul 8, 2009 · Fort Worth, Tx
- L•• F•••••••• L•• BD affiliatedDec 7, 2007 to Jul 13, 2009 · Ft Worth, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Dec 18, 2007 · San Antonio, Tx
- C••••••• I••••••••• S••••••• unclassifiedApr 17, 2006 to May 29, 2007 · Irving, Tx
- C•••• I••••••••• S••••••• C•••• formerSep 7, 2004 to Jan 4, 2005 · New York, Ny
- E•• I••••••••• A•••••• C••••••••• to L•• F•••••••• L••left Feb 28, 2012, registered Feb 27, 2012 (-1 days) · Other
- L•• F•••••••• L•• to W•• W••••• A•••••••left Jul 13, 2009, registered Mar 31, 2009 (-104 days) · Other
- W•• W••••• A••••••• to E•• I••••••••• A•••••• C•••••••••left Jul 8, 2009, registered Aug 24, 2009 (47 days) · Other
- C•••••••• G••••• M•••••• I••• to L•• F•••••••• L••left Dec 18, 2007, registered Dec 7, 2007 (-11 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to C••••••• I••••••••• S•••••••left Jan 4, 2005, registered Apr 17, 2006 (468 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address