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•••• R•••
- G••••• P•••••• W••••• A••••••• L•• independent RIA currentsince Jun 24, 2022 · Durant, Ok
- L•• F•••••••• L•• BD affiliatedMar 21, 2017 to Jul 5, 2022 · Denison, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedOct 14, 2015 to Mar 27, 2017 · Denison, Tx
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Oct 13, 2015 · Denison, Tx
- C••••• I••••••••• S••••••• L•• formerAug 7, 2009 to Jan 21, 2014 · Wapanucka, Ok
- E••••• J•••• national BDJun 8, 2007 to Jul 28, 2009 · Denison, Tx
- L•• F•••••••• L•• to G••••• P•••••• W••••• A••••••• L••left Jul 5, 2022, registered Jun 24, 2022 (-11 days) · RIA to a newly registered adviser · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••left Mar 27, 2017, registered Mar 21, 2017 (-6 days) · Other
- C••••• I••••••••• A••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 13, 2015, registered Oct 14, 2015 (1 days) · Other
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- E••••• J•••• to C••••• I••••••••• S••••••• L••left Jul 28, 2009, registered Aug 7, 2009 (10 days) · Other
- D••• A•••• R••• left L•• F•••••••• L•• for G••••• P•••••• W••••• A••••••• L•• (registered 2022-06-24)Jul 5, 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address