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•••• A• S••••
- T•••• C•••••• B••• P•••••• W••••• A••••••• independent RIA currentsince Sep 26, 2022 · Dallas, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerNov 9, 2017 to May 7, 2021 · Dallas, Tx
- M••••• S•••••• wirehouseDec 11, 2012 to Mar 30, 2016 · Dallas, Tx
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Mar 21, 2011 · Addison, Tx
- W•••• F•••• I••••••••• L•• unclassifiedDec 3, 2009 to Jan 3, 2011 · Addison, Tx
- W•••• F•••• A••••••• wirehouseOct 18, 2006 to Dec 7, 2009 · Addison, Tx
- C•••• I••••••••• S••••••• C•••• formerApr 10, 2002 to Jul 27, 2006 · Plano, Tx
- P•• M•••••• A•••••• S••••••••• I••• to T•••• C•••••• B••• P•••••• W••••• A•••••••left May 7, 2021, registered Sep 26, 2022 (507 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- M••••• S•••••• to P•• M•••••• A•••••• S••••••••• I•••left Mar 30, 2016, registered Nov 9, 2017 (589 days) · Other
- W•••• F•••• A••••••• to M••••• S••••••left Mar 21, 2011, registered Dec 11, 2012 (631 days) · Wirehouse to wirehouse
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to W•••• F•••• I••••••••• L••left Dec 7, 2009, registered Dec 3, 2009 (-4 days) · Other
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••left Jul 27, 2006, registered Oct 18, 2006 (83 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address