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.
R••••• M•••••• F•••
- W•••• F•••• A••••••• wirehouse currentsince Feb 1, 2012 · Dallas, Tx
- O••••••••• • C•• I••• BD affiliatedMay 24, 2006 to Nov 16, 2009 · New York, Ny
- F•••••••• W••• G•••• formerAug 25, 2003 to Jun 14, 2004 · Ft. Worth, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDMay 7, 2003 to Jul 21, 2003 · Hurst, Tx
- O••••••••• • C•• I••• to W•••• F•••• A•••••••left Nov 16, 2009, registered Feb 1, 2012 (807 days) · Other
- F•••••••• W••• G•••• to O••••••••• • C•• I•••left Jun 14, 2004, registered May 24, 2006 (709 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to F•••••••• W••• G••••left Jul 21, 2003, registered Aug 25, 2003 (35 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