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.
- T•• C•••••• independent RIA currentsince Nov 12, 2024 · Plano, Tx
- S•• I••••••••• A•••••••• I••• formerDec 10, 2014 to Jan 2, 2025 · Plano, Tx
- T•• A••••••• L•• formerJun 7, 2013 to Dec 31, 2014 · Plano, Tx
- W•• A•••••••• L• formerJan 26, 2012 to Jun 13, 2014 · Plano, Tx
- W•• A•••••••• L• formerApr 29, 2009 to Dec 31, 2009 · Plano, Tx
- F•••••••• A••••••• G•••• L••••• independent RIAOct 9, 2007 to Feb 17, 2012 · Gig Harbor, Wa
- U•• F•••••••• S••••••• I••• wirehouseDec 11, 2003 to Nov 5, 2007 · Dallas, Tx
- S•• I••••••••• A•••••••• I••• to T•• C••••••left Jan 2, 2025, registered Nov 12, 2024 (-51 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- T•• A••••••• L•• to S•• I••••••••• A•••••••• I•••left Dec 31, 2014, registered Dec 10, 2014 (-21 days) · Other
- W•• A•••••••• L• to T•• A••••••• L••left Jun 13, 2014, registered Jun 7, 2013 (-371 days) · Other
- F•••••••• A••••••• G•••• L••••• to W•• A•••••••• L•left Feb 17, 2012, registered Apr 29, 2009 (-1024 days) · Other
- U•• F•••••••• S••••••• I••• to F•••••••• A••••••• G•••• L•••••left Nov 5, 2007, registered Oct 9, 2007 (-27 days) · Other
- J••••• R••• D••••• left S•• I••••••••• A•••••••• I••• for T•• C•••••• (registered 2024-11-12)Jan 2, 2025 · 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
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address