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.
J••• A•••• V•••
- V••• E••••• M••••••••• L•• independent RIA currentsince Dec 13, 2019 · Plano, Tx
- P•• S••••••• C•••••• M••••••••• L•• independent RIASep 27, 2018 to Dec 11, 2019 · Plano, Tx
- L•••• F••• A••••••• S••••••• BD affiliatedNov 2, 2015 to Sep 12, 2018 · Dallas, Tx
- L••• O•• W••••• A••••••• G••••• L•• independent RIAOct 9, 2015 to Dec 14, 2015 · Carrollton, Tx
- B••••• P•••••••• L•• formerOct 17, 2013 to Nov 26, 2014 · Palm Beach Gardens, Fl
- R••••••• I••••••••• A••••••• I•• formerAug 16, 1996 to Dec 24, 2013 · Plano, Tx
- P•• S••••••• C•••••• M••••••••• L•• to V••• E••••• M••••••••• L••left Dec 11, 2019, registered Dec 13, 2019 (2 days) · Other
- L•••• F••• A••••••• S••••••• to P•• S••••••• C•••••• M••••••••• L••left Sep 12, 2018, registered Sep 27, 2018 (15 days) · Affiliated broker-dealer or bank to independent RIA
- L••• O•• W••••• A••••••• G••••• L•• to L•••• F••• A••••••• S•••••••left Dec 14, 2015, registered Nov 2, 2015 (-42 days) · Other
- B••••• P•••••••• L•• to L••• O•• W••••• A••••••• G••••• L••left Nov 26, 2014, registered Oct 9, 2015 (317 days) · Other
- R••••••• I••••••••• A••••••• I•• to B••••• P•••••••• L••left Dec 24, 2013, registered Oct 17, 2013 (-68 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
- Independent wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address