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.
D•••• W••••• M•••
- C••••••• institutional currentsince Oct 2, 2019 · Dallas, Tx
- S•••• T•••• M•••• M••••••••• L••• formerJan 18, 2018 to Dec 2, 2019 · Dallas, Tx
- M•••••• W••••• M••••••••• unclassifiedMay 17, 2017 to Dec 31, 2017 · Lewisville, Tx
- P•••• S••••••••• L•• no RAUMSep 8, 2015 to Feb 17, 2016 · Plano, Tx
- C••••• A•••••• N••••••• L•• formerMar 3, 2011 to Aug 26, 2015 · Dallas, Tx
- E••••••••• I••• unclassifiedApr 19, 2010 to Oct 20, 2010 · El Prado, Nm
- S•••• T•••• M•••• M••••••••• L••• to C•••••••left Dec 2, 2019, registered Oct 2, 2019 (-61 days) · Other · moved with a team
- M•••••• W••••• M••••••••• to S•••• T•••• M•••• M••••••••• L•••left Dec 31, 2017, registered Jan 18, 2018 (18 days) · Other
- P•••• S••••••••• L•• to M•••••• W••••• M•••••••••left Feb 17, 2016, registered May 17, 2017 (455 days) · Other
- C••••• A•••••• N••••••• L•• to P•••• S••••••••• L••left Aug 26, 2015, registered Sep 8, 2015 (13 days) · Other
- E••••••••• I••• to C••••• A•••••• N••••••• L••left Oct 20, 2010, registered Mar 3, 2011 (134 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
- Institutional managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address