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.
V•••••• P••• M•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 3, 2020 · Dallas, Tx
- W•••••• • R••• formerSep 30, 2010 to Sep 9, 2020 · Dallas, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedJan 20, 2010 to Aug 27, 2010 · Dallas, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDMay 15, 2008 to Dec 4, 2009 · Dallas, Tx
- W•••••• • R••• to L•• F•••••••• L••left Sep 9, 2020, registered Sep 3, 2020 (-6 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•• I•••••••• S•••••••• L•• to W•••••• • R•••left Aug 27, 2010, registered Sep 30, 2010 (34 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•• I•••••••• S•••••••• L••left Dec 4, 2009, registered Jan 20, 2010 (47 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