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.
W•••••• C••••••• L••••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 14, 2023 · Mckinney, Tx
- S•• W••••• independent RIAMar 4, 2022 to Dec 18, 2023 · Richardson, Tx
- S•• I••••••••• S••••••• I••• formerMar 17, 2021 to Jul 29, 2022 · Richardson, Tx
- D••••••••• F••• A••••••• L• asset managerDec 23, 2014 to Oct 2, 2019 · Austin, Tx
- U••• F•••••••• P••••••• S••••••• formerJun 10, 2009 to Apr 18, 2013 · San Antonio, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMar 12, 2008 to Mar 18, 2009 · Dallas, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDDec 15, 2006 to Feb 28, 2008 · Dallas, Tx
- S•• W••••• to L•• F•••••••• L••left Dec 18, 2023, registered Dec 14, 2023 (-4 days) · Affiliated broker-dealer or bank to another
- S•• I••••••••• S••••••• I••• to S•• W•••••left Jul 29, 2022, registered Mar 4, 2022 (-147 days) · corporate re-registration, not a move
- D••••••••• F••• A••••••• L• to S•• I••••••••• S••••••• I•••left Oct 2, 2019, registered Mar 17, 2021 (532 days) · Other
- U••• F•••••••• P••••••• S••••••• to D••••••••• F••• A••••••• L•left Apr 18, 2013, registered Dec 23, 2014 (614 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to U••• F•••••••• P••••••• S•••••••left Mar 18, 2009, registered Jun 10, 2009 (84 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Feb 28, 2008, registered Mar 12, 2008 (13 days) · Other
- W•••••• C••••••• L•••••• left S•• W••••• for L•• F•••••••• L•• (registered 2023-12-14)Dec 18, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address