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.
M••••• T•••••• P••••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · Roanoke, Tx
- W••••••• F•••••••• S•••••••• I••• formerMar 1, 2019 to Jan 19, 2024 · Roanoke, Tx
- Q•••••• A•••• M••••••••• I••• formerMay 30, 2006 to Mar 1, 2019 · Hurst, Tx
- U•••••••• S••••••••• I••• unclassifiedJan 4, 2006 to Jun 14, 2006 · Houston, Tx
- R••••• I••••••••• A•••••••• I••• independent RIAOct 14, 2003 to Dec 31, 2005 · Fort Worth, Tx
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedSep 19, 2003 to Oct 1, 2003 · Hurst, Tx
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- Q•••••• A•••• M••••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Mar 1, 2019, registered Mar 1, 2019 (0 days) · corporate re-registration, not a move
- U•••••••• S••••••••• I••• to Q•••••• A•••• M••••••••• I•••left Jun 14, 2006, registered May 30, 2006 (-15 days) · corporate re-registration, not a move
- R••••• I••••••••• A•••••••• I••• to U•••••••• S••••••••• I•••left Dec 31, 2005, registered Jan 4, 2006 (4 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to R••••• I••••••••• A•••••••• I•••left Oct 1, 2003, registered Oct 14, 2003 (13 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address