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.
D•••• M•••••• B••••••••
- D••• W••••• M••••••••• L•• state registered currentsince Nov 9, 2020 · Lindale, Tx
- C••••••• A•••• M••••••••• L•• BD affiliatedNov 19, 2013 to Nov 3, 2020 · Tyler, Tx
- O••• W••••• A•••••••• I••• formerFeb 26, 2007 to Dec 31, 2013 · Dallas, Tx
- A••••••• G•••••• S••••••••• I••••••••• unclassifiedSep 5, 2002 to Feb 13, 2007 · Tyler, Tx
- W••••• S••••• A••••••• I•• unclassifiedJul 27, 2001 to Jul 31, 2002 · Tyler, Tx
- C••••••• A•••• M••••••••• L•• to D••• W••••• M••••••••• L••left Nov 3, 2020, registered Nov 9, 2020 (6 days) · Affiliated broker-dealer or bank to a state-registered adviser
- O••• W••••• A•••••••• I••• to C••••••• A•••• M••••••••• L••left Dec 31, 2013, registered Nov 19, 2013 (-42 days) · Other
- A••••••• G•••••• S••••••••• I••••••••• to O••• W••••• A•••••••• I•••left Feb 13, 2007, registered Feb 26, 2007 (13 days) · Other
- W••••• S••••• A••••••• I•• to A••••••• G•••••• S••••••••• I•••••••••left Jul 31, 2002, registered Sep 5, 2002 (36 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
- STATE REGISTEREDderived
- Years in industry
- 57derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address