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.
T•••• L••••••• C••••
- M••••• S•••••• wirehouse currentsince Aug 29, 2019 · Concord, Ma
- A••••••••• L••• otherJul 23, 2018 to Feb 13, 2019 · Dallas, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 18, 2017 to May 15, 2018 · Addison, Tx
- W•••••• • R••• formerNov 1, 2016 to Jun 13, 2017 · Colleyville, Tx
- A••••••••• L••• to M••••• S••••••left Feb 13, 2019, registered Aug 29, 2019 (197 days) · Other
- M•• I•••••••• S•••••••• L•• to A••••••••• L•••left May 15, 2018, registered Jul 23, 2018 (69 days) · Other
- W•••••• • R••• to M•• I•••••••• S•••••••• L••left Jun 13, 2017, registered Aug 18, 2017 (66 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address