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••• T•••• W••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 31, 2018 · Victoria, Tx
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJul 1, 2011 to Sep 28, 2018 · Victoria, Tx
- C•••••••• F•••••••• G•••• A••••••• formerMar 22, 2005 to Jul 5, 2011 · Victoria, Tx
- C•••••••• I••••••••• R••••••• A•••••••• I••• to L•• F•••••••• L••left Sep 28, 2018, registered Aug 31, 2018 (-28 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- C•••••••• F•••••••• G•••• A••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jul 5, 2011, registered Jul 1, 2011 (-4 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