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•••• S•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Dec 5, 2018 · Arlington, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 7, 2016 to Nov 29, 2018 · Fort Worth, Tx
- T• A••••••••• I••• formerJun 7, 2016 to Nov 29, 2018 · Westlake, Tx
- S•••••••• A••••••• L•• national BDOct 7, 2014 to Jun 3, 2016 · Westlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• to J••• M••••• S••••••••• L••left Nov 29, 2018, registered Dec 5, 2018 (6 days) · RIA to wirehouse
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Nov 29, 2018, registered Jun 7, 2016 (-905 days) · channel change inside one enterprise, not a move
- S•••••••• A••••••• L•• to T• A••••••••• I•••left Jun 3, 2016, registered Jun 7, 2016 (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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address