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•••••• E••••• L••••••••
- A••• I••••• A••••••• independent RIA currentsince Nov 1, 2021 · Charlotte, Nc
- E•••• S••••••••• L•• BD affiliatedSep 3, 2019 to Sep 3, 2021 · Greenville, Tx
- A••••• A•• P••••••• S••••••• BD affiliatedMay 1, 2012 to Jul 17, 2018 · Frisco, Tx
- E••••• J•••• national BDFeb 14, 2007 to Oct 31, 2007 · Princeton, Tx
- E•••• S••••••••• L•• to A••• I••••• A•••••••left Sep 3, 2021, registered Nov 1, 2021 (59 days) · Affiliated broker-dealer or bank to independent RIA
- A••••• A•• P••••••• S••••••• to E•••• S••••••••• L••left Jul 17, 2018, registered Sep 3, 2019 (413 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to A••••• A•• P••••••• S•••••••left Oct 31, 2007, registered May 1, 2012 (1644 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address