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.
B•••••• D••••• R•••••••
- C•••••• P•••• W••••• M••••••••• L•• independent RIA currentsince Mar 22, 2016 · Dallas, Tx
- C••••• A••••••• S•••••••• I•• state registeredMar 12, 2010 to Dec 2, 2016
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Feb 16, 2016 · Dallas, Tx
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJun 6, 2006 to Jan 2, 2009 · Dallas, Tx
- M••••• K••••• • C••••••• L•• formerSep 7, 2005 to May 10, 2006 · Ft. Worth, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 3, 2004 to Sep 1, 2005 · Fort Worth, Tx
- C••••• A••••••• S•••••••• I•• to C•••••• P•••• W••••• M••••••••• L••left Dec 2, 2016, registered Mar 22, 2016 (-255 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••••• A••••••• S•••••••• I••left Feb 16, 2016, registered Mar 12, 2010 (-2167 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- M••••• K••••• • C••••••• L•• to R•••••• J•••• F•••••••• S•••••••• I•••left May 10, 2006, registered Jun 6, 2006 (27 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• K••••• • C••••••• L••left Sep 1, 2005, registered Sep 7, 2005 (6 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address