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••• M•••••• L••••••
- S•••• I••••• S••••••••• L•• independent RIA currentsince Oct 23, 2020 · Fort Lauderdale, Fl
- O••••••••• S••••••••• I••• BD affiliatedAug 8, 2018 to Nov 12, 2020 · Dallas, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDJun 8, 2016 to Apr 24, 2017 · Mckinney, Tx
- E•••• S••••••••• L•• BD affiliatedMay 27, 2014 to Jun 14, 2016 · Dallas, Tx
- O••••••••• S••••••••• I••• to S•••• I••••• S••••••••• L••left Nov 12, 2020, registered Oct 23, 2020 (-20 days) · Affiliated broker-dealer or bank to independent RIA
- A••••••••• F•••••••• S•••••••• L•• to O••••••••• S••••••••• I•••left Apr 24, 2017, registered Aug 8, 2018 (471 days) · Affiliated broker-dealer or bank to another
- E•••• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jun 14, 2016, registered Jun 8, 2016 (-6 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
- Independent wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address