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.
B•••• W•••• C•••••••
- F•••••••• S••••••• S••••••• G••••• I••• state registered currentsince May 15, 2024 · Highland Village, Tx
- D••••••• P•••••••• M••••••••• I••• independent RIAApr 12, 2023 to Dec 31, 2023 · Amarillo, Tx
- T•••• S••••••••• unclassifiedMar 13, 2019 to Mar 31, 2020 · Plano, Tx
- C••••• A•••••• N••••••• L•• formerJan 2, 2018 to Dec 31, 2018 · Amarillo, Tx
- L•• F•••••••• L•• BD affiliatedFeb 5, 2013 to Oct 10, 2016 · Amarillo, Tx
- V••• F•••••••• A•••••••• I••• BD affiliatedOct 25, 1999 to Dec 31, 2012 · Norman, Ok
- D••••••• P•••••••• M••••••••• I••• to F•••••••• S••••••• S••••••• G••••• I•••left Dec 31, 2023, registered May 15, 2024 (136 days) · RIA to a state-registered adviser
- T•••• S••••••••• to D••••••• P•••••••• M••••••••• I•••left Mar 31, 2020, registered Apr 12, 2023 (1107 days) · Other
- C••••• A•••••• N••••••• L•• to T•••• S•••••••••left Dec 31, 2018, registered Mar 13, 2019 (72 days) · Other
- L•• F•••••••• L•• to C••••• A•••••• N••••••• L••left Oct 10, 2016, registered Jan 2, 2018 (449 days) · Other
- V••• F•••••••• A•••••••• I••• to L•• F•••••••• L••left Dec 31, 2012, registered Feb 5, 2013 (36 days) · Other
- B•••• W•••• C••••••• left D••••••• P•••••••• M••••••••• I••• for F•••••••• S••••••• S••••••• G••••• I••• (registered 2024-05-15)Dec 31, 2023 · a•••••• firm change · 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
- STATE REGISTEREDderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address