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.
L•••• E• B•••••
- K•••••••• W••••• A•••••••• L•• BD affiliated currentsince Jan 2, 2024 · Plano, Tx
- L•••• F••• A••••••• S••••••• BD affiliatedMar 26, 2014 to Nov 14, 2023 · Frisco, Tx
- L•••••••• P••••••• S••••••••• L•• formerAug 21, 2013 to Oct 8, 2014 · Frisco, Tx
- S•••••• W••••• P•••••••• L•• BD affiliatedMay 17, 2013 to Jun 10, 2014 · Frisco, Tx
- W•• A•••••••• L• formerAug 10, 2011 to May 16, 2013 · Plano, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 5, 2001 to Mar 10, 2011 · Plano, Tx
- L•••• F••• A••••••• S••••••• to K•••••••• W••••• A•••••••• L••left Nov 14, 2023, registered Jan 2, 2024 (49 days) · Affiliated broker-dealer or bank to another
- L•••••••• P••••••• S••••••••• L•• to L•••• F••• A••••••• S•••••••left Oct 8, 2014, registered Mar 26, 2014 (-196 days) · Other
- S•••••• W••••• P•••••••• L•• to L•••••••• P••••••• S••••••••• L••left Jun 10, 2014, registered Aug 21, 2013 (-293 days) · Other
- W•• A•••••••• L• to S•••••• W••••• P•••••••• L••left May 16, 2013, registered May 17, 2013 (1 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•• A•••••••• L•left Mar 10, 2011, registered Aug 10, 2011 (153 days) · Other
- L•••• E• B••••• left L•••• F••• A••••••• S••••••• for K•••••••• W••••• A•••••••• L•• (registered 2024-01-02)Nov 14, 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
- 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