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.
J•••• D•••• D•••
- L•• F•••••••• L•• BD affiliated currentsince Oct 2, 2023 · Benbrook, Tx
- A•••• P•••• A••••••• formerNov 6, 2020 to Oct 2, 2023 · Benbrook, Tx
- K•• F•••••••• S•••••••• I•• formerJan 8, 2018 to Nov 6, 2020 · Benbrook, Tx
- S••••••• I••••••••• I••• formerDec 28, 2015 to Dec 31, 2017 · Benbrook, Tx
- S••••••• F•••••••• S•••••••• I••• formerApr 7, 2003 to Dec 28, 2015 · Plano, Tx
- U•• F•••••••• S••••••• I••• wirehouseAug 18, 1998 to Apr 2, 2003 · Fort Worth, Tx
- A•••• P•••• A••••••• to L•• F•••••••• L••left Oct 2, 2023, registered Oct 2, 2023 (0 days) · Affiliated broker-dealer or bank to another
- K•• F•••••••• S•••••••• I•• to A•••• P•••• A•••••••left Nov 6, 2020, registered Nov 6, 2020 (0 days) · channel change inside one enterprise, not a move · moved with a team
- S••••••• I••••••••• I••• to K•• F•••••••• S•••••••• I••left Dec 31, 2017, registered Jan 8, 2018 (8 days) · Other
- S••••••• F•••••••• S•••••••• I••• to S••••••• I••••••••• I•••left Dec 28, 2015, registered Dec 28, 2015 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to S••••••• F•••••••• S•••••••• I•••left Apr 2, 2003, registered Apr 7, 2003 (5 days) · Other
- J•••• D•••• D••• left A•••• P•••• A••••••• for L•• F•••••••• L•• (registered 2023-10-02)Oct 2, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address