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.
C•••••• E•••• G•••••
- S••••• W••••• A•••••••• I••• no RAUM currentsince Jul 23, 2021 · Westlake, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to May 24, 2020 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerJan 31, 2014 to Jan 8, 2018 · Addison, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDAug 26, 2011 to Jan 23, 2014 · Plano, Tx
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Aug 30, 2011 · Plano, Tx
- P••••••••• E••••• G••••• L•• unclassifiedJul 18, 1997 to Jul 1, 2003 · Plano, Tx
- U••• I••••••••• S••••••• C•••••• to S••••• W••••• A•••••••• I•••left May 24, 2020, registered Jul 23, 2021 (425 days) · Other · moved with a team
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to U••• F•••••••• P••••••• S•••••••left Jan 23, 2014, registered Jan 31, 2014 (8 days) · Other
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Aug 30, 2011, registered Aug 26, 2011 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- No RAUM reportedderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address