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.
D••••• W•••• F••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Dec 1, 2021 · Mansfield, Tx
- L•• F•••••••• L•• BD affiliatedOct 7, 2021 to Dec 3, 2021 · Greenville, Tx
- L•• F•••••••• L•• BD affiliatedJan 17, 2008 to Oct 7, 2021 · Greenville, Tx
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Jan 15, 2008 · Greenville, Tx
- B••• O•• S••••••••• C••••••••• unclassifiedFeb 25, 2005 to Jul 6, 2005 · Greenville, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDMar 13, 2003 to Mar 1, 2005 · Richardson, Tx
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Dec 3, 2021, registered Dec 1, 2021 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
- C•••• I••••••••• S••••••• C•••• to L•• F•••••••• L••left Jan 15, 2008, registered Jan 17, 2008 (2 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to B••• O•• S••••••••• C•••••••••left Mar 1, 2005, registered Feb 25, 2005 (-4 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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address