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.
S•••• W•••••• P••••••
- L••••• A•••••••• I••• state registered currentsince Oct 31, 2012 · Dallas, Tx
- N••••••••• M••••• I••••••••• S••••••••• no RAUMOct 5, 2010 to Sep 6, 2012 · Dallas, Tx
- L••••• A•••••••• I••• state registeredSep 1, 2008 to Apr 7, 2009 · Dallas, Tx
- N••••••••• M••••• I••••••••• S••••••••• to L••••• A•••••••• I•••left Sep 6, 2012, registered Oct 31, 2012 (55 days) · Other
- L••••• A•••••••• I••• to N••••••••• M••••• I••••••••• S•••••••••left Apr 7, 2009, registered Oct 5, 2010 (546 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
- STATE REGISTEREDderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address