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•••••••• D••••••• L•••
- W•••• F•••• A••••••• wirehouse currentsince Jun 3, 2015 · Dallas, Tx
- M••••••• I••••••••• N•••••• I••• BD affiliatedJan 29, 2015 to Jun 1, 2015 · Trophy Club, Tx
- L•• F•••••••• L•• BD affiliatedMar 17, 2014 to Jan 22, 2015 · Grapevine, Tx
- R••••• W• B•••• • C•• I••••••••• mixed wealthJul 19, 2013 to Jan 31, 2014 · Dallas, Tx
- M••••••• I••••••••• N•••••• I••• BD affiliatedJan 20, 2011 to Jul 23, 2013 · Dallas, Tx
- M••••••• I••••••••• N•••••• I••• to W•••• F•••• A•••••••left Jun 1, 2015, registered Jun 3, 2015 (2 days) · Other
- L•• F•••••••• L•• to M••••••• I••••••••• N•••••• I•••left Jan 22, 2015, registered Jan 29, 2015 (7 days) · Other
- R••••• W• B•••• • C•• I••••••••• to L•• F•••••••• L••left Jan 31, 2014, registered Mar 17, 2014 (45 days) · Other
- M••••••• I••••••••• N•••••• I••• to R••••• W• B•••• • C•• I•••••••••left Jul 23, 2013, registered Jul 19, 2013 (-4 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
- Wirehousederived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address