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••••• S••••••••
- C•••••• S••••• • C••• I••• national BD currentsince Jul 19, 2021 · Westlake, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 28, 2015 to Jan 4, 2017 · Fort Worth, Tx
- M•••• W••••• A•••••••• L•• independent RIAJun 18, 2014 to Jun 15, 2015 · Southlake, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••left Jan 4, 2017, registered Jul 19, 2021 (1657 days) · Wirehouse to affiliated broker-dealer or bank
- M•••• W••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 15, 2015, registered May 28, 2015 (-18 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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address