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.
R•••••• W••••• F••••••••
- M••••• S•••••• wirehouse currentsince Sep 29, 2023 · Dallas, Tx
- R•• C•••••• M••••••• L•• national BDNov 1, 2011 to Oct 11, 2023 · Dallas, Tx
- M••••• K••••• • C••••••• L•• formerAug 13, 2007 to Nov 2, 2011 · Dallas, Tx
- R•• C•••••• M••••••• L•• to M••••• S••••••left Oct 11, 2023, registered Sep 29, 2023 (-12 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• K••••• • C••••••• L•• to R•• C•••••• M••••••• L••left Nov 2, 2011, registered Nov 1, 2011 (-1 days) · Other
- R•••••• W••••• F•••••••• left R•• C•••••• M••••••• L•• for M••••• S•••••• (registered 2023-09-29)Oct 11, 2023 · Advisor changed firm · fact
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