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••• V•• O•••••
- C•••••• W••••• P•••••••• L•• independent RIA currentsince May 20, 2021 · Naples, Fl
- C••••• A•••••• N••••••• L•• formerFeb 22, 2021 to Mar 12, 2021 · South Lake, Tx
- C••• L•• BD affiliatedFeb 19, 2021 to Mar 1, 2021 · Omaha, Ne
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 11, 2019 to Sep 3, 2019 · Watauga, Tx
- F••••••• P••••••• T•••• C••••••• F•• unclassifiedApr 27, 2005 to Mar 28, 2007 · Westlake, Tx
- S•••••••• A••••••• L•• national BDJun 30, 2000 to Dec 2, 2016 · Westlake, Tx
- C••••• A•••••• N••••••• L•• to C•••••• W••••• P•••••••• L••left Mar 12, 2021, registered May 20, 2021 (69 days) · Affiliated broker-dealer or bank to independent RIA
- C••• L•• to C••••• A•••••• N••••••• L••left Mar 1, 2021, registered Feb 22, 2021 (-7 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to C••• L••left Sep 3, 2019, registered Feb 19, 2021 (535 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to F••••••• P••••••• T•••• C••••••• F••left Dec 2, 2016, registered Apr 27, 2005 (-4237 days) · Other
- F••••••• P••••••• T•••• C••••••• F•• to A••••••••• F•••••••• S•••••••• L••left Mar 28, 2007, registered Feb 11, 2019 (4338 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
- Independent wealth managerderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address