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••••••••• W••••• mixed wealth currentsince Apr 11, 2025 · Waco, Tx
- T•••••• P•••••••• A•••••••• L•• independent RIANov 25, 2009 to Dec 31, 2024 · Waco, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedFeb 10, 2004 to Nov 16, 2009 · Waco, Tx
- M••• S••••••••• C••••••••• unclassifiedDec 7, 1989 to Jan 20, 2004 · Waco, Tx
- T•••••• P•••••••• A•••••••• L•• to S••••••••• W•••••left Dec 31, 2024, registered Apr 11, 2025 (101 days) · RIA to RIA
- M•• I•••••••• S•••••••• L•• to T•••••• P•••••••• A•••••••• L••left Nov 16, 2009, registered Nov 25, 2009 (9 days) · Other
- M••• S••••••••• C••••••••• to M•• I•••••••• S•••••••• L••left Jan 20, 2004, registered Feb 10, 2004 (21 days) · Other
- G••• H•••• V•••• left T•••••• P•••••••• A•••••••• L•• for S••••••••• W••••• (registered 2025-04-11)Dec 31, 2024 · Advisor changed firm · fact
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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address