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.
M••• T••••••• L••••••
- B••••• W••••• M••••••••• L•• independent RIA currentsince May 20, 2016 · Lewisville, Tx
- E•••••• E••••• L•• BD affiliatedJun 29, 2017 to Jul 24, 2017 · Lewisville, Tx
- S•••••••• A••••••• L•• national BDOct 4, 2013 to Jul 10, 2015 · Westlake, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 23, 2011 to Nov 16, 2012 · Dallas, Tx
- E•••••• E••••• L•• to no registered destinationleft Jul 24, 2017 · Departure, no registered destination
- S•••••••• A••••••• L•• to B••••• W••••• M••••••••• L••left Jul 10, 2015, registered May 20, 2016 (315 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A••••••• L••left Nov 16, 2012, registered Oct 4, 2013 (322 days) · Wirehouse to affiliated broker-dealer or bank
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address