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.
J•••• C••• W•••••
- W•••• F•••• A••••••• wirehouse currentsince Sep 26, 2017 · Dallas, Tx
- B•• F•••••••• A••••••• BD affiliatedApr 22, 2013 to Oct 23, 2017 · Dallas, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 2, 2008 to Feb 18, 2009 · Fort Worth, Tx
- T• A••••••••• I••• formerJan 2, 2008 to Feb 18, 2009 · Fort Worth, Tx
- B•• F•••••••• A••••••• to W•••• F•••• A•••••••left Oct 23, 2017, registered Sep 26, 2017 (-27 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to B•• F•••••••• A•••••••left Feb 18, 2009, registered Apr 22, 2013 (1524 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 18, 2009, registered Jan 2, 2008 (-413 days) · channel change inside one enterprise, 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address