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.
L•••• B••• G••••••
- V••••••• A•••••••• I••• BD affiliated currentsince Dec 8, 2021 · Malvern, Pa
- V•••• F•••••••• A•••••••• I••• BD affiliatedOct 26, 2020 to Nov 24, 2021 · Addison, Tx
- L•• F•••••••• L•• BD affiliatedDec 18, 2017 to Sep 15, 2020 · Amarillo, Tx
- A••••• W••••• M••••••••• independent RIASep 22, 2014 to Sep 6, 2017 · Tulsa, Ok
- B•• F•••••••• A••••••• BD affiliatedFeb 9, 1999 to Sep 19, 2014 · Tulsa, Ok
- V•••• F•••••••• A•••••••• I••• to V••••••• A•••••••• I•••left Nov 24, 2021, registered Dec 8, 2021 (14 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to V•••• F•••••••• A•••••••• I•••left Sep 15, 2020, registered Oct 26, 2020 (41 days) · Affiliated broker-dealer or bank to another
- A••••• W••••• M••••••••• to L•• F•••••••• L••left Sep 6, 2017, registered Dec 18, 2017 (103 days) · Other
- B•• F•••••••• A••••••• to A••••• W••••• M•••••••••left Sep 19, 2014, registered Sep 22, 2014 (3 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address