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•••••• A••• W••••••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Feb 17, 2021 · Dallas, Tx
- B••• S••••••••• L•• formerAug 16, 2019 to Feb 17, 2021 · Charlotte, Nc
- C••••• I••••••••• A••••••• L•• BD affiliatedOct 20, 2014 to Jan 5, 2017 · Dallas, Tx
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Sep 23, 2014 · San Antonio, Tx
- W•••• F•••• I••••••••• L•• unclassifiedAug 25, 2008 to Jan 3, 2011 · San Angelo, Tx
- F•••• C•••••• F•••••••• P•••••••• I••• formerMay 18, 2007 to Mar 12, 2008 · San Angelo, Tx
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- C••••• I••••••••• A••••••• L•• to B••• S••••••••• L••left Jan 5, 2017, registered Aug 16, 2019 (953 days) · Other
- W•••• F•••• A••••••• to C••••• I••••••••• A••••••• L••left Sep 23, 2014, registered Oct 20, 2014 (27 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- F•••• C•••••• F•••••••• P•••••••• I••• to W•••• F•••• I••••••••• L••left Mar 12, 2008, registered Aug 25, 2008 (166 days) · Other
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