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.
S••••• T•••••
- W••••••••• A••••••• P••••••• L•• BD affiliated currentsince May 13, 2019 · Lucas, Tx
- L•• F•••••••• L•• BD affiliatedMar 2, 2018 to Jul 23, 2018 · Dallas, Tx
- I••••••••• F•••••••• P••••••• BD affiliatedFeb 3, 2016 to May 13, 2019 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 19, 2012 to Feb 9, 2016 · Dallas, Tx
- C•••• I••••••••• S••••••• C•••• formerDec 6, 2011 to May 24, 2012 · Richardson, Tx
- L••••••• W••••• M••••••••• P••• i••••••••• wealthMar 30, 2009 to Jun 2, 2009 · Rockwall, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedOct 8, 2008 to Apr 22, 2009 · Fort Worth, Tx
- V•• A••••••• S••••••• formerApr 9, 2007 to Apr 4, 2008 · Overland Park, Ks
- L•• F•••••••• C••••••• L•• i••••••••• wealthJul 10, 2006 to Aug 14, 2006 · Dallas, Tx
- I••••••••• F•••••••• P••••••• to L•• F•••••••• L••left May 13, 2019, registered Mar 2, 2018 (-437 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to W••••••••• A••••••• P••••••• L••left Jul 23, 2018, registered May 13, 2019 (294 days) · RIA to RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••••••• F•••••••• P•••••••left Feb 9, 2016, registered Feb 3, 2016 (-6 days) · Other · moved with a team
- C•••• I••••••••• S••••••• C•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 24, 2012, registered Jun 19, 2012 (26 days) · Other
- L••••••• W••••• M••••••••• P••• to C•••• I••••••••• S••••••• C••••left Jun 2, 2009, registered Dec 6, 2011 (917 days) · Other
- M•• I•••••••• S•••••••• L•• to L••••••• W••••• M••••••••• P•••left Apr 22, 2009, registered Mar 30, 2009 (-23 days) · Other
- V•• A••••••• S••••••• to M•• I•••••••• S•••••••• L••left Apr 4, 2008, registered Oct 8, 2008 (187 days) · Other
- L•• F•••••••• C••••••• L•• to V•• A••••••• S•••••••left Aug 14, 2006, registered Apr 9, 2007 (238 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address