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.
D•••• B• S••••
- F•••••• W••••• M••••••••• independent RIA currentsince Jul 2, 2015 · Plano, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 12, 2014 to Jul 16, 2015 · Denton, Tx
- W•• A•••••••• L• formerJan 3, 2012 to Dec 1, 2014 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F•••••• W••••• M•••••••••left Jul 16, 2015, registered Jul 2, 2015 (-14 days) · Other
- W•• A•••••••• L• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 1, 2014, registered Dec 12, 2014 (11 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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address