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.
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K•••• A•••• F•••••••
- B••••• P••••• A•••••••• L•• independent RIA currentsince Jul 29, 2022 · Newport Beach, Ca
- B•••••••• P•••••• W••••• M••••••••• L•• formerJan 21, 2021 to Jul 25, 2022 · Dallas, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedOct 14, 2015 to Jan 26, 2021 · Waco, Tx
- W•••• F•••• A••••••• wirehouseMar 23, 2012 to Oct 19, 2015 · Waco, Tx
- W•••• F•••• A••••••• wirehouseJul 5, 2010 to Mar 23, 2012 · Austin, Tx
- B•••••••• P•••••• W••••• M••••••••• L•• to B••••• P••••• A•••••••• L••left Jul 25, 2022, registered Jul 29, 2022 (4 days) · RIA to RIA · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to B•••••••• P•••••• W••••• M••••••••• L••left Jan 26, 2021, registered Jan 21, 2021 (-5 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 19, 2015, registered Oct 14, 2015 (-5 days) · Other · moved with a team
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Mar 23, 2012, registered Mar 23, 2012 (0 days) · channel change inside one enterprise, not a move
- K•••• A•••• F••••••• left B•••••••• P•••••• W••••• M••••••••• L•• for B••••• P••••• A•••••••• L•• (registered 2022-07-29)Jul 25, 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
- Independent wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address