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.
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- M••••••• I••••••••• N•••••• I••• BD affiliated currentsince Mar 7, 2023 · Colleyville, Tx
- W••••••• W••••• M••••••••• mixed wealthJun 5, 2019 to Mar 6, 2023 · Dallas, Tx
- W••••••• M••••••••• C••• otherNov 3, 2006 to Mar 6, 2023 · Colleyville, Tx
- W••••••• W••••• M••••••••• to M••••••• I••••••••• N•••••• I•••left Mar 6, 2023, registered Mar 7, 2023 (1 days) · RIA to affiliated broker-dealer or bank
- W••••••• M••••••••• C••• to W••••••• W••••• M•••••••••left Mar 6, 2023, registered Jun 5, 2019 (-1370 days) · channel change inside one enterprise, not a move
- J••••••••• L•••• F••••• left W••••••• W••••• M••••••••• for M••••••• I••••••••• N•••••• I••• (registered 2023-03-07)Mar 6, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address