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.
A•••••• U•• L•••••
- F••••••••• C••••••• L•• state registered currentsince Oct 6, 2009 · Dallas, Tx
- N•••• A••••••• W••••• M••••••••• unclassifiedFeb 17, 2006 to Feb 17, 2009 · Dallas, Tx
- N•••• A••••••• W••••• M••••••••• unclassifiedJul 18, 2005 to Dec 31, 2005 · Dallas, Tx
- M••••• S•••••• C••••••••• unclassifiedMay 31, 2005 to Mar 13, 2006 · Dallas, Tx
- N•••• A••••••• W••••• M••••••••• to F••••••••• C••••••• L••left Feb 17, 2009, registered Oct 6, 2009 (231 days) · Other
- M••••• S•••••• C••••••••• to N•••• A••••••• W••••• M•••••••••left Mar 13, 2006, registered Jul 18, 2005 (-238 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
- STATE REGISTEREDderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address