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.
P••••••• L••
- A••••••• A••••••• S•••••••• L•• BD affiliated currentsince Nov 1, 2021 · Dallas, Tx
- P••• A••••• S••••••••• L•• BD affiliatedDec 3, 2015 to Sep 11, 2019 · Ft. Worth, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedApr 7, 2009 to May 18, 2015 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 6, 2006 to Dec 22, 2008 · Dallas, Tx
- O•••• F•• I••• formerNov 30, 2005 to Oct 17, 2006 · Dallas, Tx
- P••• A••••• S••••••••• L•• to A••••••• A••••••• S•••••••• L••left Sep 11, 2019, registered Nov 1, 2021 (782 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to P••• A••••• S••••••••• L••left May 18, 2015, registered Dec 3, 2015 (199 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•• I•••••••• S•••••••• L••left Dec 22, 2008, registered Apr 7, 2009 (106 days) · Other
- O•••• F•• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 17, 2006, registered Nov 6, 2006 (20 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address