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.
E••••• L•••• N•••••
- M••••• G••••• A••••••• I••• independent RIA currentsince Aug 4, 2022 · Denver, Co
- P••••••• C•••••• A••••••• C••••••••• formerOct 21, 2019 to May 13, 2022 · Dallas, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMJan 9, 2019 to Oct 21, 2019 · Addison, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Sep 26, 2018 · Boston, Ma
- S•••••••• A••••••• L•• national BDMar 13, 2008 to Jul 13, 2018 · Westlake, Tx
- P••••••• C•••••• A••••••• C••••••••• to M••••• G••••• A••••••• I•••left May 13, 2022, registered Aug 4, 2022 (83 days) · RIA to RIA
- U••• I••••••••• S••••••• C•••••• to P••••••• C•••••• A••••••• C•••••••••left Oct 21, 2019, registered Oct 21, 2019 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- F••••••• P••••••• A•• W•••••••• A••••••• to U••• I••••••••• S••••••• C••••••left Sep 26, 2018, registered Jan 9, 2019 (105 days) · Affiliated broker-dealer or bank to another
- 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
- E••••• L•••• N••••• left P••••••• C•••••• A••••••• C••••••••• for M••••• G••••• A••••••• I••• (registered 2022-08-04)May 13, 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
- Independent wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address