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.
W•••••• T•••• W•••••
- E•••• S••••••••• L•• BD affiliated currentsince Jun 7, 2017 · Frisco, Tx
- U••• F•••••••• P••••••• S••••••• formerAug 12, 2011 to Apr 13, 2017 · Addison, Tx
- E•••••••• A•••••••• L•• national BDDec 11, 2006 to Oct 12, 2010 · Dallas, Tx
- U••• F•••••••• P••••••• S••••••• to E•••• S••••••••• L••left Apr 13, 2017, registered Jun 7, 2017 (55 days) · Other
- E•••••••• A•••••••• L•• to U••• F•••••••• P••••••• S•••••••left Oct 12, 2010, registered Aug 12, 2011 (304 days) · Affiliated broker-dealer or bank to a newly registered adviser
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address