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.
E••• L••••••• P•••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 30, 2022 · Killeen, Tx
- O•••• I••••••••• I••• BD affiliatedJun 21, 2021 to Nov 30, 2022 · Meriden, Ct
- A••••••••• F•••••••• S•••••••• L•• national BDJun 25, 2018 to Jun 22, 2021 · Killeen, Tx
- I••••••••• P••••••••• I••• formerOct 16, 2009 to Sep 25, 2018 · San Antonio, Tx
- C••••• I••••••••• S••••••• L•• formerDec 5, 2005 to Oct 15, 2009 · Copperas Cove, Tx
- M••••• S•••••• D• I••• unclassifiedSep 14, 2001 to Dec 9, 2002 · Temple, Tx
- O•••• I••••••••• I••• to L•• F•••••••• L••left Nov 30, 2022, registered Nov 30, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to O•••• I••••••••• I•••left Jun 22, 2021, registered Jun 21, 2021 (-1 days) · Affiliated broker-dealer or bank to another
- I••••••••• P••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 25, 2018, registered Jun 25, 2018 (-92 days) · corporate re-registration, not a move
- C••••• I••••••••• S••••••• L•• to I••••••••• P••••••••• I•••left Oct 15, 2009, registered Oct 16, 2009 (1 days) · Other
- M••••• S•••••• D• I••• to C••••• I••••••••• S••••••• L••left Dec 9, 2002, registered Dec 5, 2005 (1092 days) · Other
- E••• L••••••• P••••• left O•••• I••••••••• I••• for L•• F•••••••• L•• (registered 2022-11-30)Nov 30, 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address