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.
G•••••• A••• D••••••
- G•••• • D•••••• L•• independent RIA currentsince May 3, 2019 · Lubbock, Tx
- A•••••• A••••••• S••••••• formerOct 25, 2019 to Oct 28, 2019 · Irving, Tx
- 1•• G••••• A••••••• I•• formerJul 22, 2013 to Oct 25, 2019 · Lubbock, Tx
- S•••••••• F•••••••• P•••••••• I••• independent RIAApr 9, 2013 to Jun 17, 2013 · Plano, Tx
- L•• F•••••••• L•• BD affiliatedNov 21, 2012 to Dec 21, 2012 · Richardson, Tx
- A•••••• A••••••• S••••••• to no registered destinationleft Oct 28, 2019 · Departure, no registered destination
- 1•• G••••• A••••••• I•• to G•••• • D•••••• L••left Oct 25, 2019, registered May 3, 2019 (-175 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- S•••••••• F•••••••• P•••••••• I••• to 1•• G••••• A••••••• I••left Jun 17, 2013, registered Jul 22, 2013 (35 days) · Other
- L•• F•••••••• L•• to S•••••••• F•••••••• P•••••••• I•••left Dec 21, 2012, registered Apr 9, 2013 (109 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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address