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.
T•••• K•• E••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 5, 2011 · Richardson, Tx
- S••••• S••••••••• I••• independent RIAJun 21, 2010 to Dec 6, 2011 · Plano, Tx
- L•• F•••••••• L•• BD affiliatedFeb 12, 2008 to Jun 24, 2010 · Fort Mill, Sc
- E••••• J•••• national BDFeb 8, 2007 to Feb 14, 2008 · Plano, Tx
- S••••• S••••••••• I••• to L•• F•••••••• L••left Dec 6, 2011, registered Dec 5, 2011 (-1 days) · Other
- L•• F•••••••• L•• to S••••• S••••••••• I•••left Jun 24, 2010, registered Jun 21, 2010 (-3 days) · Other
- E••••• J•••• to L•• F•••••••• L••left Feb 14, 2008, registered Feb 12, 2008 (-2 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