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••••••• D••••••• D••••••
- D•••••• W••••• M••••••••• L•• state registered currentsince Feb 5, 2021 · Plano, Tx
- C••••• A•••••• N••••••• L•• formerMar 4, 2021 to May 8, 2023 · Plano, Tx
- D•••••• W••••• M••••••••• L•• state registeredFeb 24, 2020 to Dec 31, 2020 · Plano, Tx
- D•••••• W••••• M••••••••• L•• state registeredJan 2, 2018 to Dec 31, 2019 · Plano, Tx
- S••••• F•••••••• G•••• I•• formerSep 1, 2016 to May 20, 2021 · Dallas, Tx
- V•• A••••••• S••••••• formerFeb 7, 2003 to Sep 1, 2016 · Dallas, Tx
- T•• M••••••• I••• unclassifiedMar 21, 2000 to Feb 7, 2003 · Plano, Tx
- C••••• A•••••• N••••••• L•• to no registered destinationleft May 8, 2023 · Departure, no registered destination
- S••••• F•••••••• G•••• I•• to D•••••• W••••• M••••••••• L••left May 20, 2021, registered Jan 2, 2018 (-1234 days) · Affiliated broker-dealer or bank to a state-registered adviser
- V•• A••••••• S••••••• to S••••• F•••••••• G•••• I••left Sep 1, 2016, registered Sep 1, 2016 (0 days) · corporate re-registration, not a move
- T•• M••••••• I••• to V•• A••••••• S•••••••left Feb 7, 2003, registered Feb 7, 2003 (0 days) · corporate re-registration, not a move
- L••••••• D••••••• D•••••• no longer registered at C••••• A•••••• N••••••• L••; no later IA registration on IAPDMay 8, 2023 · a•••••• departure · 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
- STATE REGISTEREDderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address