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.
C••••••• M••••••• M••
- F•••• C•••••• A••••••• S••••••• BD affiliated currentsince Oct 16, 2018 · Fort Worth, Tx
- L•• F•••••••• L•• BD affiliatedAug 24, 2017 to Dec 21, 2017 · Fort Worth, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerNov 6, 2014 to Oct 6, 2015 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 10, 2014 to Sep 10, 2014 · Plano, Tx
- C•••••• S••••• • C••• I••• national BDMar 5, 2010 to Apr 2, 2014 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerMay 18, 2007 to Feb 23, 2010 · San Antonio, Tx
- L•• F•••••••• L•• to F•••• C•••••• A••••••• S•••••••left Dec 21, 2017, registered Oct 16, 2018 (299 days) · RIA to affiliated broker-dealer or bank
- P•• M•••••• A•••••• S••••••••• I••• to L•• F•••••••• L••left Oct 6, 2015, registered Aug 24, 2017 (688 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• M•••••• A•••••• S••••••••• I•••left Sep 10, 2014, registered Nov 6, 2014 (57 days) · Other
- C•••••• S••••• • C••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 2, 2014, registered Apr 10, 2014 (8 days) · Affiliated broker-dealer or bank to wirehouse
- U••• F•••••••• P••••••• S••••••• to C•••••• S••••• • C••• I•••left Feb 23, 2010, registered Mar 5, 2010 (10 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address