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.
B•••• W•••••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 9, 2022 · San Diego, Ca
- M••••• G••••• A••••••• I••• independent RIADec 22, 2021 to Mar 3, 2022 · Denver, Co
- L••• P•••• W••••• M••••••••• L•• formerJul 2, 2021 to Mar 25, 2022 · Heath, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerJan 13, 2021 to May 17, 2021 · Dallas, Tx
- L•• F•••••••• L•• BD affiliatedOct 2, 2017 to Nov 9, 2020 · Rockwall, Tx
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Oct 3, 2017 · Plano, Tx
- C•••• I••••••••• S••••••• C•••• formerMar 15, 2011 to Oct 1, 2012 · Plano, Tx
- L••• P•••• W••••• M••••••••• L•• to M••••• G••••• A••••••• I•••left Mar 25, 2022, registered Dec 22, 2021 (-93 days) · Other
- M••••• G••••• A••••••• I••• to L•• F•••••••• L••left Mar 3, 2022, registered Mar 9, 2022 (6 days) · RIA to RIA
- P•• M•••••• A•••••• S••••••••• I••• to L••• P•••• W••••• M••••••••• L••left May 17, 2021, registered Jul 2, 2021 (46 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to P•• M•••••• A•••••• S••••••••• I•••left Nov 9, 2020, registered Jan 13, 2021 (65 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to L•• F•••••••• L••left Oct 3, 2017, registered Oct 2, 2017 (-1 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- B•••• W••••••• left L••• P•••• W••••• M••••••••• L•• for M••••• G••••• A••••••• I••• (registered 2021-12-22)Mar 25, 2022 · Advisor changed firm · fact
- B•••• W••••••• left M••••• G••••• A••••••• I••• for L•• F•••••••• L•• (registered 2022-03-09)Mar 3, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address