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.
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A•• G••• L•••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 4, 2023 · Frisco, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDJan 11, 2019 to Oct 5, 2023 · Frisco, Tx
- A•••••• R••••••• C•••••• independent RIANov 8, 2016 to Jan 11, 2019 · Frisco, Tx
- L•• F•••••••• L•• BD affiliatedAug 23, 2013 to Feb 16, 2017 · Frisco, Tx
- C•••••••• L••• formerMar 19, 2009 to Jul 17, 2013 · Coppell, Tx
- L•• F•••••••• L•• BD affiliatedSep 10, 2004 to Sep 26, 2012 · Coppell, Tx
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Oct 5, 2023, registered Oct 4, 2023 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- A•••••• R••••••• C•••••• to A••••••••• F•••••••• S•••••••• L••left Jan 11, 2019, registered Jan 11, 2019 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
- L•• F•••••••• L•• to A•••••• R••••••• C••••••left Feb 16, 2017, registered Nov 8, 2016 (-100 days) · Other · moved with a team
- C•••••••• L••• to L•• F•••••••• L••left Jul 17, 2013, registered Aug 23, 2013 (37 days) · Other
- L•• F•••••••• L•• to C•••••••• L•••left Sep 26, 2012, registered Mar 19, 2009 (-1287 days) · Other
- A•• G••• L••••• left A••••••••• F•••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2023-10-04)Oct 5, 2023 · a•••••• firm change · 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address