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•••••• T••••• S••••
- A•••••• R••••••• C•••••• independent RIA currentsince Jul 8, 2015 · Stephenville, Tx
- U••• F•••••••• P••••••• S••••••• formerJun 1, 2012 to Jun 2, 2015 · Addison, Tx
- M••••• S•••••• wirehouseOct 29, 2010 to May 4, 2012 · Dallas, Tx
- U••• F•••••••• P••••••• S••••••• to A•••••• R••••••• C••••••left Jun 2, 2015, registered Jul 8, 2015 (36 days) · Other
- M••••• S•••••• to U••• F•••••••• P••••••• S•••••••left May 4, 2012, registered Jun 1, 2012 (28 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- Independent wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address