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.
D••••• A•••• J••••
- L•• F•••••••• L•• BD affiliated currentsince May 12, 2022 · Lubbock, Tx
- I••••••••• F•••••••• G••••• L•• BD affiliatedApr 4, 2022 to May 11, 2022 · Lubbock, Tx
- R•••••• J•••• • A••••••••• I••• national BDAug 22, 2014 to Mar 21, 2022 · Sugar Land, Tx
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Aug 25, 2014 · Sugar Land, Tx
- A• G• E•••••• • S•••• I••• unclassifiedJan 1, 2004 to Jan 1, 2008 · Sugar Land, Tx
- I••••••••• F•••••••• G••••• L•• to L•• F•••••••• L••left May 11, 2022, registered May 12, 2022 (1 days) · Affiliated broker-dealer or bank to independent RIA
- R•••••• J•••• • A••••••••• I••• to I••••••••• F•••••••• G••••• L••left Mar 21, 2022, registered Apr 4, 2022 (14 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Aug 25, 2014, registered Aug 22, 2014 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
- D••••• A•••• J•••• left I••••••••• F•••••••• G••••• L•• for L•• F•••••••• L•• (registered 2022-05-12)May 11, 2022 · Advisor changed firm · fact
- D••••• A•••• J•••• left R•••••• J•••• • A••••••••• I••• for I••••••••• F•••••••• G••••• L•• (registered 2022-04-04)Mar 21, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address