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•••• N•••••• A•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 20, 2016 · Allen, Tx
- A•••••• A••••••• S••••••• formerMar 25, 2015 to Oct 14, 2016 · Irving, Tx
- U••• F•••••••• P••••••• S••••••• formerApr 18, 2011 to Feb 19, 2015 · Addison, Tx
- S•••••••• A••••••• L•• national BDSep 23, 2010 to Mar 14, 2011 · Westlake, Tx
- A•••••• A••••••• S••••••• to J••• M••••• S••••••••• L••left Oct 14, 2016, registered Oct 20, 2016 (6 days) · Other
- U••• F•••••••• P••••••• S••••••• to A•••••• A••••••• S•••••••left Feb 19, 2015, registered Mar 25, 2015 (34 days) · Other
- S•••••••• A••••••• L•• to U••• F•••••••• P••••••• S•••••••left Mar 14, 2011, registered Apr 18, 2011 (35 days) · Affiliated broker-dealer or bank to a newly registered adviser
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