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.
S•••••• D••••• R•••••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Feb 17, 2021 · Dallas, Tx
- B••• S••••••••• L•• formerMay 6, 2016 to Feb 17, 2021 · Dallas, Tx
- R•• C•••••• M••••••• L•• national BDMay 20, 2013 to May 20, 2016 · Dallas, Tx
- R••••••• W••••• A•••••••• L•• unclassifiedFeb 8, 2012 to Apr 30, 2013 · Dallas, Tx
- W•• A•••••••• L• formerMay 14, 2010 to May 20, 2013 · Dallas, Tx
- O••••••••• • C•• I••• BD affiliatedMar 19, 2009 to May 18, 2010 · Dallas, Tx
- S••••••• G•••• C•••••• unclassifiedMar 31, 2006 to Mar 16, 2009 · Dallas, Tx
- D••••••• B••• S••••••••• I••• no RAUMJan 13, 2001 to Apr 12, 2006 · Dallas, Tx
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- R•• C•••••• M••••••• L•• to B••• S••••••••• L••left May 20, 2016, registered May 6, 2016 (-14 days) · Other · moved with a team
- W•• A•••••••• L• to R••••••• W••••• A•••••••• L••left May 20, 2013, registered Feb 8, 2012 (-467 days) · Other
- R••••••• W••••• A•••••••• L•• to R•• C•••••• M••••••• L••left Apr 30, 2013, registered May 20, 2013 (20 days) · Other
- O••••••••• • C•• I••• to W•• A•••••••• L•left May 18, 2010, registered May 14, 2010 (-4 days) · Other
- S••••••• G•••• C•••••• to O••••••••• • C•• I•••left Mar 16, 2009, registered Mar 19, 2009 (3 days) · Other
- D••••••• B••• S••••••••• I••• to S••••••• G•••• C••••••left Apr 12, 2006, registered Mar 31, 2006 (-12 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address