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.
S••••• D••••• B••••
- N•••••• A••••••• BD affiliated currentsince May 24, 2021 · New Orleans, La
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 10, 2009 to Dec 31, 2020 · Fort Worth, Tx
- T• A••••••••• I••• formerMar 10, 2009 to Jan 11, 2021 · Fort Worth, Tx
- T• A••••••••• I••• to N•••••• A•••••••left Jan 11, 2021, registered May 24, 2021 (133 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Mar 10, 2009 (-4314 days) · corporate re-registration, not a move
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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address