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.
W•••• F•••••• G•••
- S••••• W••••• A•••••••• I••• no RAUM currentsince Jun 28, 2023 · Westlake, Tx
- V••••••• A•••••••• I••• BD affiliatedFeb 4, 2022 to May 31, 2023 · Malvern, Pa
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 18, 2018 to Feb 2, 2022 · Southlake, Tx
- W•••• F•••• A••••••• wirehouseOct 26, 2012 to Mar 5, 2013 · Dallas, Tx
- W•••• F•••• I••••••••• L•• unclassifiedSep 30, 2004 to Aug 8, 2005 · Los Angeles, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDOct 31, 2003 to Sep 28, 2004 · Long Beavh, Ca
- V••••••• A•••••••• I••• to S••••• W••••• A•••••••• I•••left May 31, 2023, registered Jun 28, 2023 (28 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to V••••••• A•••••••• I•••left Feb 2, 2022, registered Feb 4, 2022 (2 days) · RIA to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• A••••••• to T• A••••••••• I••••••••• M••••••••• L••left Mar 5, 2013, registered Apr 18, 2018 (1870 days) · Wirehouse to independent RIA
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Aug 8, 2005, registered Oct 26, 2012 (2636 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• I••••••••• L••left Sep 28, 2004, registered Sep 30, 2004 (2 days) · Other
- W•••• F•••••• G••• left V••••••• A•••••••• I••• for S••••• W••••• A•••••••• I••• (registered 2023-06-28)May 31, 2023 · Advisor changed firm · fact
- W•••• F•••••• G••• left T• A••••••••• I••••••••• M••••••••• L•• for V••••••• A•••••••• I••• (registered 2022-02-04)Feb 2, 2022 · Advisor changed firm · 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
- No RAUM reportedderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address