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.
- M••••• S•••••• wirehouse currentsince Dec 2, 2015 · Dallas, Tx
- C••••• S••••• S••••••••• •••• L•• formerMay 15, 2013 to Dec 18, 2015 · Dallas, Tx
- M••••• S•••••• wirehouseJan 10, 2013 to Jun 12, 2013 · Dallas, Tx
- R•• C•••••• M••••••• L•• national BDAug 29, 2007 to Feb 21, 2012 · Dallas, Tx
- C••••• S••••• S••••••••• •••• L•• to M••••• S••••••left Dec 18, 2015, registered Dec 2, 2015 (-16 days) · Other · moved with a team
- M••••• S•••••• to C••••• S••••• S••••••••• •••• L••left Jun 12, 2013, registered May 15, 2013 (-28 days) · Other
- R•• C•••••• M••••••• L•• to M••••• S••••••left Feb 21, 2012, registered Jan 10, 2013 (324 days) · Affiliated broker-dealer or bank to wirehouse
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