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•••••• M•••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 19, 2021 · El Paso, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerJul 30, 2018 to Jul 14, 2021 · El Paso, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 27, 2015 to Jul 2, 2018 · Colleyville, Tx
- W•••• F•••• A••••••• wirehouseFeb 24, 2014 to May 19, 2015 · North Richland Hills, Tx
- P•• M•••••• A•••••• S••••••••• I••• to L•• F•••••••• L••left Jul 14, 2021, registered Jul 19, 2021 (5 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• M•••••• A•••••• S••••••••• I•••left Jul 2, 2018, registered Jul 30, 2018 (28 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 19, 2015, registered May 27, 2015 (8 days) · Wirehouse to wirehouse
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