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.
A•••• N•••
- A••• I••••• A••••••• independent RIA currentsince Oct 7, 2021 · Lewisville, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMOct 16, 2019 to Jun 12, 2020 · Plano, Tx
- J••• M••••• S••••••••• L•• wirehouseApr 12, 2019 to Aug 15, 2019 · Plano, Tx
- F•••• C•••••• A••••••• S••••••• BD affiliatedApr 14, 2017 to Nov 15, 2018 · Plano, Tx
- U••• I••••••••• S••••••• C•••••• to A••• I••••• A•••••••left Jun 12, 2020, registered Oct 7, 2021 (482 days) · Other
- J••• M••••• S••••••••• L•• to U••• I••••••••• S••••••• C••••••left Aug 15, 2019, registered Oct 16, 2019 (62 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- F•••• C•••••• A••••••• S••••••• to J••• M••••• S••••••••• L••left Nov 15, 2018, registered Apr 12, 2019 (148 days) · Affiliated broker-dealer or bank to wirehouse
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address