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.
P••••••• G••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Dec 1, 2021 · Mckinney, Tx
- L•• F•••••••• L•• BD affiliatedJan 13, 2020 to Dec 3, 2021 · Heath, Tx
- A•••••• R••••••• C•••••• independent RIAAug 6, 2018 to Jan 13, 2020 · Rockwall, Tx
- E••••• J•••• national BDNov 11, 2013 to Aug 9, 2018 · St Louis, Mo
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 9, 2010 to Nov 13, 2013 · Addison, Tx
- W••• I••••••••• I••• unclassifiedJul 23, 2008 to Mar 3, 2009 · Dallas, Tx
- C•••• I••••••••• S••••••• C•••• formerJan 23, 2007 to Aug 24, 2007 · Arlington, Tx
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Dec 1, 2005 · Fort Worth, Tx
- B••• O•• S••••••••• C••••••••• unclassifiedMar 15, 2005 to Jul 6, 2005 · Fort Worth, Tx
- P•••• S••••••••• L•• no RAUMJan 3, 2005 to Feb 1, 2005 · Irving, Tx
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Dec 3, 2021, registered Dec 1, 2021 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
- A•••••• R••••••• C•••••• to L•• F•••••••• L••left Jan 13, 2020, registered Jan 13, 2020 (0 days) · RIA to affiliated broker-dealer or bank
- E••••• J•••• to A•••••• R••••••• C••••••left Aug 9, 2018, registered Aug 6, 2018 (-3 days) · Affiliated broker-dealer or bank to independent RIA
- M•• I•••••••• S•••••••• L•• to E••••• J••••left Nov 13, 2013, registered Nov 11, 2013 (-2 days) · Other
- W••• I••••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 3, 2009, registered Aug 9, 2010 (524 days) · Other
- C•••• I••••••••• S••••••• C•••• to W••• I••••••••• I•••left Aug 24, 2007, registered Jul 23, 2008 (334 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
- P•••• S••••••••• L•• to B••• O•• S••••••••• C•••••••••left Feb 1, 2005, registered Mar 15, 2005 (42 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address