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.
- W•••• F•••• A••••••• wirehouse currentsince Dec 21, 2015 · Dallas, Tx
- C••••• S••••• S••••••••• •••• L•• formerMay 19, 2015 to Dec 28, 2015 · Dallas, Tx
- J••• M••••• S••••••••• L•• wirehouseJun 3, 2009 to May 15, 2012 · Dallas, Tx
- S••••••• G•••• C•••••• unclassifiedApr 18, 2008 to Mar 31, 2009 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 28, 2003 to Apr 22, 2008 · Dallas, Tx
- C••••• S••••• S••••••••• •••• L•• to W•••• F•••• A•••••••left Dec 28, 2015, registered Dec 21, 2015 (-7 days) · Other · moved with a team
- J••• M••••• S••••••••• L•• to C••••• S••••• S••••••••• •••• L••left May 15, 2012, registered May 19, 2015 (1099 days) · Other
- S••••••• G•••• C•••••• to J••• M••••• S••••••••• L••left Mar 31, 2009, registered Jun 3, 2009 (64 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••••••• G•••• C••••••left Apr 22, 2008, registered Apr 18, 2008 (-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
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address