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.
C••••• L•• P••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Dec 1, 2021 · Terrell, Tx
- L•• F•••••••• L•• BD affiliatedSep 17, 2013 to Dec 14, 2021 · Forney, Tx
- W••••••• S••••••••• A••••••• formerApr 9, 2012 to Sep 13, 2013 · Farmington, Nm
- E••••• J•••• national BDFeb 21, 2008 to Apr 13, 2012 · Farmington, Nm
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Dec 14, 2021, registered Dec 1, 2021 (-13 days) · Affiliated broker-dealer or bank to another · moved with a team
- W••••••• S••••••••• A••••••• to L•• F•••••••• L••left Sep 13, 2013, registered Sep 17, 2013 (4 days) · Other
- E••••• J•••• to W••••••• S••••••••• A•••••••left Apr 13, 2012, registered Apr 9, 2012 (-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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address