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.
J•••• W••••• Q••••••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Feb 4, 2022 · Irving, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerSep 18, 2020 to Nov 12, 2021 · Dallas, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to Jun 17, 2020 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerMar 13, 2015 to Jan 8, 2018 · Addison, Tx
- J••• M••••• S••••••••• L•• wirehouseSep 18, 2013 to Jan 7, 2015 · Arlington, Tx
- P••• A••••• S••••••••• L•• BD affiliatedFeb 25, 2013 to Sep 16, 2013 · Addison, Tx
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Oct 9, 2012 · Colleyville, Tx
- C•••• I••••••••• S••••••• C•••• formerNov 2, 2010 to Oct 1, 2012 · Arlington, Tx
- C••• B•••••••• S•••••••• I••• formerAug 26, 2005 to Feb 1, 2010 · Houston, Tx
- P•• M•••••• A•••••• S••••••••• I••• to C•••••••• G••••• M•••••• I•••left Nov 12, 2021, registered Feb 4, 2022 (84 days) · Affiliated broker-dealer or bank to another
- U••• I••••••••• S••••••• C•••••• to P•• M•••••• A•••••• S••••••••• I•••left Jun 17, 2020, registered Sep 18, 2020 (93 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
- J••• M••••• S••••••••• L•• to U••• F•••••••• P••••••• S•••••••left Jan 7, 2015, registered Mar 13, 2015 (65 days) · Other
- P••• A••••• S••••••••• L•• to J••• M••••• S••••••••• L••left Sep 16, 2013, registered Sep 18, 2013 (2 days) · Other
- J••• M••••• S••••••••• L•• to P••• A••••• S••••••••• L••left Oct 9, 2012, registered Feb 25, 2013 (139 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- C••• B•••••••• S•••••••• I••• to C•••• I••••••••• S••••••• C••••left Feb 1, 2010, registered Nov 2, 2010 (274 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address