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.
R•••••• A•••••• L•••
- C••••••••• I••••••••• A•••••••• L•• independent RIA currentsince Apr 25, 2023 · Dallas, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedFeb 15, 2019 to May 17, 2023 · Dallas, Tx
- U•• F•••••••• S••••••• I••• wirehouseDec 6, 2011 to Feb 26, 2019 · Dallas, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 5, 2012 · Dallas, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 20, 2007 to Jun 1, 2009 · Dallas, Tx
- F•••••••• F•••••••• S••••••• W••••• M••••••••• formerMay 12, 2005 to Feb 20, 2007 · Dallas, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedFeb 17, 2004 to Mar 2, 2005 · Dallas, Tx
- R•• C•••••• M••••••• L•• national BDJun 11, 2002 to Dec 17, 2002 · Dallas, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••••••••• I••••••••• A•••••••• L••left May 17, 2023, registered Apr 25, 2023 (-22 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Feb 26, 2019, registered Feb 15, 2019 (-11 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Jan 5, 2012, registered Dec 6, 2011 (-30 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- F•••••••• F•••••••• S••••••• W••••• M••••••••• to C•••••••• G••••• M•••••• I•••left Feb 20, 2007, registered Feb 20, 2007 (0 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to F•••••••• F•••••••• S••••••• W••••• M•••••••••left Mar 2, 2005, registered May 12, 2005 (71 days) · Other
- R•• C•••••• M••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Dec 17, 2002, registered Feb 17, 2004 (427 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address