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••••• E• F•••••••
- I••••••••• A••••••• G•••• independent RIA currentsince Mar 10, 2021 · Lubbock, Tx
- A••••• F•••••••• A•••••••• L•• independent RIAApr 18, 2017 to Mar 2, 2021 · Lubbock, Tx
- P••• A••••• S••••••••• L•• BD affiliatedJul 15, 2015 to Nov 9, 2016 · Fort Worth, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedNov 8, 2012 to Jun 18, 2015 · Lubbock, Tx
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Feb 28, 2012 · Lubbock, Tx
- W•••• F•••• I••••••••• L•• unclassifiedJun 9, 2010 to Jan 3, 2011 · Lubbock, Tx
- M•• F•••••••• S•••••••• I••• formerJun 27, 1997 to Jul 21, 2008 · Plano, Tx
- A••••• F•••••••• A•••••••• L•• to I••••••••• A••••••• G••••left Mar 2, 2021, registered Mar 10, 2021 (8 days) · RIA to RIA
- P••• A••••• S••••••••• L•• to A••••• F•••••••• A•••••••• L••left Nov 9, 2016, registered Apr 18, 2017 (160 days) · Other
- M•• I•••••••• S•••••••• L•• to P••• A••••• S••••••••• L••left Jun 18, 2015, registered Jul 15, 2015 (27 days) · Other
- W•••• F•••• A••••••• to M•• I•••••••• S•••••••• L••left Feb 28, 2012, registered Nov 8, 2012 (254 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to W•••• F•••• I••••••••• L••left Jul 21, 2008, registered Jun 9, 2010 (688 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address