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.
B••••••• A••• H•••••••••
- H••••••••• F••••••••• L•• independent RIA currentsince Jul 24, 2017 · Dallas, Tx
- E•••••••• A•••••••• L•• national BDMar 28, 2013 to Sep 9, 2015 · Dallas, Tx
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2008 to Jul 29, 2010 · Dallas, Tx
- J••• M••••• S••••••••• I••• unclassifiedOct 23, 2007 to Oct 1, 2008 · Dallas, Tx
- E•••••••• A•••••••• L•• to H••••••••• F••••••••• L••left Sep 9, 2015, registered Jul 24, 2017 (684 days) · Other
- J••• M••••• S••••••••• L•• to E•••••••• A•••••••• L••left Jul 29, 2010, registered Mar 28, 2013 (973 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address