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.
A••••• R•••• R••••••••
- B••••• P••••• A•••••••• L•• independent RIA currentsince Oct 18, 2021 · Newport Beach, Ca
- L•• F•••••••• L•• BD affiliatedNov 29, 2017 to Aug 17, 2018 · Fort Worth, Tx
- R•••••••• A••••••• S•••••••• L••• formerJul 24, 2015 to Feb 16, 2022 · Fort Worth, Tx
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerMay 21, 2012 to Nov 29, 2017 · Forth Worth, Tx
- R•••••••• A••••••• S•••••••• L••• formerMar 9, 2009 to Jul 13, 2010 · Fort Worth, Tx
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJun 12, 2008 to Jul 13, 2010 · Forth Worth, Tx
- R•••••••• A••••••• S•••••••• L••• to L•• F•••••••• L••left Feb 16, 2022, registered Nov 29, 2017 (-1540 days) · RIA to RIA · moved with a team
- L•• F•••••••• L•• to B••••• P••••• A•••••••• L••left Aug 17, 2018, registered Oct 18, 2021 (1158 days) · RIA to RIA
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to R•••••••• A••••••• S•••••••• L•••left Nov 29, 2017, registered Jul 24, 2015 (-859 days) · Other · moved with a team
- R•••••••• A••••••• S•••••••• L••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Jul 13, 2010, registered May 21, 2012 (678 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to R•••••••• A••••••• S•••••••• L•••left Jul 13, 2010, registered Mar 9, 2009 (-491 days) · Other
- A••••• R•••• R•••••••• left R•••••••• A••••••• S•••••••• L••• for L•• F•••••••• L•• (registered 2017-11-29)Feb 16, 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address