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••••••• P••••••• T•••••
- M••••• S•••••• wirehouse currentsince Mar 25, 2015 · Dallas, Tx
- B•• F•••••••• A••••••• BD affiliatedDec 10, 2012 to Jan 30, 2015 · Richardson, Tx
- S••••• A••••••• independent RIAApr 4, 2011 to Nov 12, 2012 · Irving, Tx
- B•• F•••••••• A••••••• to M••••• S••••••left Jan 30, 2015, registered Mar 25, 2015 (54 days) · Other
- S••••• A••••••• to B•• F•••••••• A•••••••left Nov 12, 2012, registered Dec 10, 2012 (28 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address