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.
J•••• D••• M•••••
- C••• L•• BD affiliated currentsince Oct 12, 2022 · Amarillo, Tx
- L•• F•••••••• L•• BD affiliatedAug 19, 2022 to Oct 12, 2022 · Higgins, Tx
- L•• F•••••••• L•• BD affiliatedAug 28, 2020 to Aug 18, 2022 · Amarillo, Tx
- C•••••• G•••• • C• I•• formerAug 9, 2006 to Aug 31, 2020 · Syracuse, Ny
- S•••••••• F••••••••• I••• formerNov 29, 2005 to Aug 7, 2006 · Guymon, Ok
- M••••• F•••••••• A•••••••• I••• unclassifiedDec 21, 2001 to Dec 31, 2005 · Guymon, Ok
- L•• F•••••••• L•• to C••• L••left Oct 12, 2022, registered Oct 12, 2022 (0 days) · RIA to affiliated broker-dealer or bank
- C•••••• G•••• • C• I•• to L•• F•••••••• L••left Aug 31, 2020, registered Aug 28, 2020 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- S•••••••• F••••••••• I••• to C•••••• G•••• • C• I••left Aug 7, 2006, registered Aug 9, 2006 (2 days) · Other
- M••••• F•••••••• A•••••••• I••• to S•••••••• F••••••••• I•••left Dec 31, 2005, registered Nov 29, 2005 (-32 days) · Other
- J•••• D••• M••••• left L•• F•••••••• L•• for C••• L•• (registered 2022-10-12)Oct 12, 2022 · Advisor changed firm · fact
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address