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••••• R• W••••
- C•••••• S••••• • C••• I••• national BD currentsince Jan 26, 2022 · Fort Worth, Tx
- T• A••••••••• I••• formerMar 3, 2021 to Oct 14, 2022 · Fort Worth, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 3, 2021 to Sep 7, 2023 · Fort Worth, Tx
- J••• M••••• S••••••••• L•• wirehouseJan 12, 2021 to Feb 24, 2021 · Dallas, Tx
- T• A••••••••• I••• formerFeb 27, 2018 to Jan 11, 2021 · Garland, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Dec 31, 2020 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerJan 25, 2017 to Feb 26, 2018 · Saint Louis, Mo
- T• A••••••••• I••• formerJan 25, 2011 to Feb 12, 2016 · Westlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 25, 2011 to Feb 12, 2016 · Ft Worth, Tx
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedNov 12, 2009 to Jan 18, 2011 · Southlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Mar 3, 2021 (-590 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to T• A••••••••• I•••left Feb 24, 2021, registered Mar 3, 2021 (7 days) · Other
- T• A••••••••• I••• to J••• M••••• S••••••••• L••left Jan 11, 2021, registered Jan 12, 2021 (1 days) · Other · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Feb 27, 2018 (-1038 days) · corporate re-registration, not a move
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 12, 2016, registered Jan 25, 2011 (-1844 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to S•••••••• I••••••••• M•••••••••left Feb 12, 2016, registered Jan 25, 2017 (348 days) · Other
- C•••••• O•• F•••••••• A••••••• L•• to T• A••••••••• I•••left Jan 18, 2011, registered Jan 25, 2011 (7 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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address