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.
S•••••• L••••••• C•••••••
- L•••• F••••••••• L•• state registered currentsince Oct 21, 2013 · Southlake, Tx
- R••••••••• R••••• A•••••••• L•• unclassifiedMar 28, 2023 to Dec 31, 2023 · Plano, Tx
- R••••••••• R••••• A•••••••• L•• unclassifiedMar 3, 2015 to Dec 31, 2022 · Plano, Tx
- A•••••••• F•••••••• A•••••••• L•• state registeredJan 28, 2009 to Dec 31, 2010 · Miami Beach, Fl
- S••• I••••••••• C•••••• independent RIAJan 31, 2007 to Feb 20, 2007 · San Antonio, Tx
- V•• A••••••• S••••••• formerMay 13, 2005 to Dec 31, 2006 · Frisco, Tx
- O•••• F•• I••• formerJul 30, 2003 to May 20, 2005 · Dallas, Tx
- R••••••••• R••••• A•••••••• L•• to no registered destinationleft Dec 31, 2023 · Departure, no registered destination
- A•••••••• F•••••••• A•••••••• L•• to L•••• F••••••••• L••left Dec 31, 2010, registered Oct 21, 2013 (1025 days) · Other
- S••• I••••••••• C•••••• to A•••••••• F•••••••• A•••••••• L••left Feb 20, 2007, registered Jan 28, 2009 (708 days) · Other
- V•• A••••••• S••••••• to S••• I••••••••• C••••••left Dec 31, 2006, registered Jan 31, 2007 (31 days) · Other
- O•••• F•• I••• to V•• A••••••• S•••••••left May 20, 2005, registered May 13, 2005 (-7 days) · Other
- S•••••• L••••••• C••••••• no longer registered at R••••••••• R••••• A•••••••• L••; no later IA registration on IAPDDec 31, 2023 · Advisor departure · 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
- STATE REGISTEREDderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address