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••• T••••• C•••••••••
- C•••••• S••••• • C••• I••• national BD currentsince Oct 21, 2021 · Westlake, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerAug 13, 2020 to Sep 29, 2021 · Westlake, Tx
- C•••••• S••••• • C••• I••• national BDOct 15, 2018 to Jul 16, 2020 · Fort Worth, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerSep 18, 2015 to Jul 21, 2017 · Fort Worth, Tx
- T• A••••••••• I••• formerSep 18, 2015 to Oct 18, 2017 · Westlake, Tx
- J••• M••••• S••••••••• L•• wirehouseApr 3, 2014 to Sep 9, 2015 · El Paso, Tx
- S••• I••••••••• C•••••• independent RIAJan 2, 2014 to Mar 25, 2014 · San Antonio, Tx
- V••• F•••••••• A•••••••• I••• BD affiliatedJul 24, 2012 to Jan 2, 2014 · Houston, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 19, 2007 to Aug 18, 2011 · Jacksonville, Fl
- C••••• I••••••••• S••••••• L•• formerSep 14, 2005 to Mar 1, 2006 · San Antonio, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••left Sep 29, 2021, registered Oct 21, 2021 (22 days) · Affiliated broker-dealer or bank to another
- C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 16, 2020, registered Aug 13, 2020 (28 days) · Affiliated broker-dealer or bank to another · moved with a team
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 18, 2017, registered Oct 15, 2018 (362 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jul 21, 2017, registered Sep 18, 2015 (-672 days) · channel change inside one enterprise, not a move · moved with a team
- J••• M••••• S••••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Sep 9, 2015, registered Sep 18, 2015 (9 days) · Other
- S••• I••••••••• C•••••• to J••• M••••• S••••••••• L••left Mar 25, 2014, registered Apr 3, 2014 (9 days) · Other
- V••• F•••••••• A•••••••• I••• to S••• I••••••••• C••••••left Jan 2, 2014, registered Jan 2, 2014 (0 days) · Other
- C•••••••• G••••• M•••••• I••• to V••• F•••••••• A•••••••• I•••left Aug 18, 2011, registered Jul 24, 2012 (341 days) · Other
- C••••• I••••••••• S••••••• L•• to C•••••••• G••••• M•••••• I•••left Mar 1, 2006, registered Jun 19, 2007 (475 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address