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.
C••• D••• S••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 27, 2021 · Corpus Christi, Tx
- C••••• A•••••• N••••••• L•• formerJun 9, 2021 to Sep 15, 2021 · Corpus Christi, Tx
- V••• F•••••••• A•••••••• I••• BD affiliatedApr 5, 2013 to Jun 9, 2021 · Corpus Christi, Tx
- C•••••• S••••• • C••• I••• national BDOct 5, 2011 to Apr 17, 2013 · Corpus Christi, Tx
- V•••• F•••••••• A•••••••• I••• BD affiliatedJun 27, 2011 to Sep 30, 2011 · Addison, Tx
- W••••••• W••••• A•••••••• I••• independent RIAOct 15, 2008 to Oct 16, 2009 · Grapevine, Tx
- T• A••••••••• I••• formerNov 7, 2007 to Oct 9, 2008 · Fort Worth, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerNov 7, 2007 to Oct 9, 2008 · Fort Worth, Tx
- E••••• J•••• national BDJan 19, 2007 to Oct 30, 2007 · St Louis, Mo
- C••••• A•••••• N••••••• L•• to L•• F•••••••• L••left Sep 15, 2021, registered Aug 27, 2021 (-19 days) · Affiliated broker-dealer or bank to another · moved with a team
- V••• F•••••••• A•••••••• I••• to C••••• A•••••• N••••••• L••left Jun 9, 2021, registered Jun 9, 2021 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- C•••••• S••••• • C••• I••• to V••• F•••••••• A•••••••• I•••left Apr 17, 2013, registered Apr 5, 2013 (-12 days) · Other
- V•••• F•••••••• A•••••••• I••• to C•••••• S••••• • C••• I•••left Sep 30, 2011, registered Oct 5, 2011 (5 days) · Other
- W••••••• W••••• A•••••••• I••• to V•••• F•••••••• A•••••••• I•••left Oct 16, 2009, registered Jun 27, 2011 (619 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 9, 2008, registered Nov 7, 2007 (-337 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to W••••••• W••••• A•••••••• I•••left Oct 9, 2008, registered Oct 15, 2008 (6 days) · Other
- E••••• J•••• to T• A••••••••• I•••left Oct 30, 2007, registered Nov 7, 2007 (8 days) · Affiliated broker-dealer or bank to a newly registered adviser
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address