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.
S••••• D••• M•••••••
- B••••• P••••• A•••••••• L•• independent RIA currentsince Oct 4, 2016 · Plano, Tx
- B••••• P••••• W••••• A•••••••• L•• formerOct 4, 2016 to Apr 27, 2020 · Plano, Tx
- I••••••• A•••••••• L•• formerJun 29, 2011 to Mar 31, 2017 · Plano, Tx
- G••••••••• A••••••• independent RIAOct 12, 2009 to Nov 17, 2009 · Dallas, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDSep 25, 2001 to Aug 21, 2006 · Dallas, Tx
- B••••• P••••• W••••• A•••••••• L•• to B••••• P••••• A•••••••• L••left Apr 27, 2020, registered Oct 4, 2016 (-1301 days) · corporate re-registration, not a move
- I••••••• A•••••••• L•• to B••••• P••••• W••••• A•••••••• L••left Mar 31, 2017, registered Oct 4, 2016 (-178 days) · Other · moved with a team
- G••••••••• A••••••• to I••••••• A•••••••• L••left Nov 17, 2009, registered Jun 29, 2011 (589 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to G••••••••• A•••••••left Aug 21, 2006, registered Oct 12, 2009 (1148 days) · Affiliated broker-dealer or bank to a newly registered adviser
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address