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.
T••• N••••• C••••••
- E•••••• E••••• L•• BD affiliated currentsince Mar 30, 2016 · Sachse, Tx
- S••••••• R••••••••• S••••••••• L•• unclassifiedOct 16, 2012 to Mar 30, 2016 · Sachse, Tx
- H••••••• A••••••• S•••••••• I••• formerApr 12, 2010 to Mar 25, 2011 · Malvern, Pa
- S••••••• R••••••••• S••••••••• L•• to E•••••• E••••• L••left Mar 30, 2016, registered Mar 30, 2016 (0 days) · Other
- H••••••• A••••••• S•••••••• I••• to S••••••• R••••••••• S••••••••• L••left Mar 25, 2011, registered Oct 16, 2012 (571 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address