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.
C••• L••• W•••
- B•• F•••••••• A••••••• BD affiliated currentsince Oct 15, 2021 · Plano, Tx
- J••• M••••• S••••••••• L•• wirehouseJan 26, 2021 to Sep 16, 2021 · Irving, Tx
- A••••• A•• P••••••• S••••••• BD affiliatedMay 24, 2016 to Nov 13, 2020 · Frisco, Tx
- E••••• J•••• national BDMar 17, 2008 to Jun 14, 2011 · Little Elm, Tx
- J••• M••••• S••••••••• L•• to B•• F•••••••• A•••••••left Sep 16, 2021, registered Oct 15, 2021 (29 days) · Wirehouse to affiliated broker-dealer or bank
- A••••• A•• P••••••• S••••••• to J••• M••••• S••••••••• L••left Nov 13, 2020, registered Jan 26, 2021 (74 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- E••••• J•••• to A••••• A•• P••••••• S•••••••left Jun 14, 2011, registered May 24, 2016 (1806 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address