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.
R•••• C•••••••• R••••
- V•••••• C•••••• M••••••••• I••• independent RIA currentsince Jul 18, 2023 · Dallas, Tx
- T••••••• P•••••• W••••• M••••••••• mixed wealthSep 19, 2011 to Jul 17, 2023 · Dallas, Tx
- G•• A••••••• S•••••••• L•• asset managerFeb 27, 2008 to May 14, 2010 · Greenwich, Ct
- I••••• W••••• M••••••••• L•• unclassifiedJun 20, 2006 to May 1, 2008 · Phoenix, Az
- L•• F•••••••• L•• BD affiliatedJun 2, 2004 to Oct 4, 2004 · Richardson, Tx
- T••••••• P•••••• W••••• M••••••••• to V•••••• C•••••• M••••••••• I•••left Jul 17, 2023, registered Jul 18, 2023 (1 days) · RIA to RIA
- G•• A••••••• S•••••••• L•• to T••••••• P•••••• W••••• M•••••••••left May 14, 2010, registered Sep 19, 2011 (493 days) · Other
- I••••• W••••• M••••••••• L•• to G•• A••••••• S•••••••• L••left May 1, 2008, registered Feb 27, 2008 (-64 days) · Other
- L•• F•••••••• L•• to I••••• W••••• M••••••••• L••left Oct 4, 2004, registered Jun 20, 2006 (624 days) · Other
- R•••• C•••••••• R•••• left T••••••• P•••••• W••••• M••••••••• for V•••••• C•••••• M••••••••• I••• (registered 2023-07-18)Jul 17, 2023 · 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