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.
M••• W••• D••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 24, 2021 · Lubbock, Tx
- L•••• F••• A••••••• S••••••• BD affiliatedMay 10, 2010 to Aug 25, 2021 · Lubbock, Tx
- M•• A•••••••• L• unclassifiedJun 4, 2002 to Jul 13, 2010 · Lubbock, Tx
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerAug 31, 2001 to Oct 31, 2002 · Lubbock, Tx
- L•••• F••• A••••••• S••••••• to L•• F•••••••• L••left Aug 25, 2021, registered Aug 24, 2021 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•• A•••••••• L• to L•••• F••• A••••••• S•••••••left Jul 13, 2010, registered May 10, 2010 (-64 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to M•• A•••••••• L•left Oct 31, 2002, registered Jun 4, 2002 (-149 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
- 47derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address