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.
G••••• W••••• O•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jan 25, 2019 · Fort Worth, Tx
- R••••• W• B•••• • C•• I••••••••• mixed wealthMar 11, 2011 to Feb 5, 2019 · Fort Worth, Tx
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Mar 14, 2011 · Fort Worth, Tx
- A• G• E•••••• • S•••• I••• unclassifiedAug 22, 2002 to Jan 1, 2008 · Fort Worth, Tx
- R••••• W• B•••• • C•• I••••••••• to R•••••• J•••• • A••••••••• I•••left Feb 5, 2019, registered Jan 25, 2019 (-11 days) · RIA to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to R••••• W• B•••• • C•• I•••••••••left Mar 14, 2011, registered Mar 11, 2011 (-3 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address