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.
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J••••••• A••• B•••••••••
- Q••••••• W••••• P•••••••• L•• independent RIA currentsince Sep 5, 2023 · Dallas, Tx
- U••••• C•••••• F•••••••• A••••••• independent RIAOct 21, 2011 to Oct 13, 2023 · Irving, Tx
- G••••• S••••••••• I••• formerOct 21, 2011 to Feb 26, 2016 · Irving, Tx
- P••• C•••••• I••••••••• S••••••••• unclassifiedJun 20, 2003 to Dec 1, 2004 · Ighlands Ranch, Co
- L•• F•••••••• L•• BD affiliatedApr 23, 2002 to Nov 7, 2011 · Irving, Tx
- U••••• C•••••• F•••••••• A••••••• to Q••••••• W••••• P•••••••• L••left Oct 13, 2023, registered Sep 5, 2023 (-38 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- G••••• S••••••••• I••• to U••••• C•••••• F•••••••• A•••••••left Feb 26, 2016, registered Oct 21, 2011 (-1589 days) · Other
- L•• F•••••••• L•• to P••• C•••••• I••••••••• S•••••••••left Nov 7, 2011, registered Jun 20, 2003 (-3062 days) · Other
- P••• C•••••• I••••••••• S••••••••• to G••••• S••••••••• I•••left Dec 1, 2004, registered Oct 21, 2011 (2515 days) · Other
- J••••••• A••• B••••••••• left U••••• C•••••• F•••••••• A••••••• for Q••••••• W••••• P•••••••• L•• (registered 2023-09-05)Oct 13, 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address