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.
L••••• L••••• M•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince May 8, 2018 · Spartanburg, Sc
- C•••••• S••••• • C••• I••• national BDOct 26, 2017 to Feb 26, 2018 · Westlake, Tx
- 1•• G••••• A••••••• I•• formerMar 7, 2012 to Mar 1, 2017 · Dallas, Tx
- W•••• F•••• A••••••• wirehouseMay 7, 2008 to Sep 20, 2011 · Fort Worth, Tx
- C•••••• S••••• • C••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 26, 2018, registered May 8, 2018 (71 days) · Affiliated broker-dealer or bank to wirehouse
- 1•• G••••• A••••••• I•• to C•••••• S••••• • C••• I•••left Mar 1, 2017, registered Oct 26, 2017 (239 days) · Other
- W•••• F•••• A••••••• to 1•• G••••• A••••••• I••left Sep 20, 2011, registered Mar 7, 2012 (169 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address