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.
- H•••••••• A•••••••• L•• BD affiliated currentsince Oct 21, 2020 · Mandeville, La
- F••••••• I••••••••• M••••••••• C• formerFeb 19, 2010 to Nov 16, 2020 · Dallas, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 9, 2007 to Sep 9, 2008 · Fort Worth, Tx
- T• A••••••••• I••• formerJul 9, 2007 to Sep 9, 2008 · Fort Worth, Tx
- F••••••• I••••••••• M••••••••• C• to H•••••••• A•••••••• L••left Nov 16, 2020, registered Oct 21, 2020 (-26 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Sep 9, 2008, registered Jul 9, 2007 (-428 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Sep 9, 2008, registered Jul 9, 2007 (-428 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address