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.
B••••• T•••••••
- C•••••• S••••• • C••• I••• national BD currentsince Feb 15, 2023 · Westlake, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Jan 10, 2022 · Boston, Ma
- S•••••••• A••••••• L•• national BDOct 24, 2012 to Jul 13, 2018 · Westlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerSep 13, 2010 to Sep 12, 2012 · Ft Worth, Tx
- T• A••••••••• I••• formerSep 13, 2010 to Sep 12, 2012 · Westlake, Tx
- S•••••••• A••••••• L•• national BDJan 23, 2008 to Sep 10, 2010 · Westlake, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••left Jan 10, 2022, registered Feb 15, 2023 (401 days) · Affiliated broker-dealer or bank to another · moved with a team
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Sep 12, 2012, registered Sep 13, 2010 (-730 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to S•••••••• A••••••• L••left Sep 12, 2012, registered Oct 24, 2012 (42 days) · Other
- S•••••••• A••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Sep 10, 2010, registered Sep 13, 2010 (3 days) · Other
- B••••• T••••••• left F••••••• P••••••• A•• W•••••••• A••••••• for C•••••• S••••• • C••• I••• (registered 2023-02-15)Jan 10, 2022 · Advisor changed firm · fact
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address