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•••• C••••••••• R••••••
- C•••••• S••••• • C••• I••• national BD currentsince May 25, 2022 · Westlake, Tx
- S••••• W••••• A•••••••• I••• no RAUMMay 5, 2021 to May 25, 2022 · Westlake, Tx
- S••••• W••••• A•••••••• I••• no RAUMJan 7, 2019 to Oct 22, 2020 · Fort Worth, Tx
- C•••••• S••••• • C••• I••• national BDDec 20, 2016 to Jan 23, 2019 · Westlake, Tx
- W•• A•••••••• L• formerJul 20, 2015 to Aug 1, 2016 · Fort Worth, Tx
- P••• A••••• S••••••••• L•• BD affiliatedMar 20, 2015 to Jul 22, 2015 · Fort Worth, Tx
- R•••••••• A••••••• S•••••••• L••• formerMar 9, 2009 to Mar 18, 2015 · Fort Worth, Tx
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJul 1, 2008 to Feb 17, 2015 · Forth Worth, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2008 to Jun 27, 2008 · Fort Worth, Tx
- T• A••••••••• I••• formerFeb 26, 2008 to Jun 27, 2008 · Fort Worth, Tx
- S••••• W••••• A•••••••• I••• to C•••••• S••••• • C••• I•••left May 25, 2022, registered May 25, 2022 (0 days) · channel change inside one enterprise, not a move · moved with a team
- C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••left Jan 23, 2019, registered Jan 7, 2019 (-16 days) · channel change inside one enterprise, not a move
- W•• A•••••••• L• to C•••••• S••••• • C••• I•••left Aug 1, 2016, registered Dec 20, 2016 (141 days) · Other
- P••• A••••• S••••••••• L•• to W•• A•••••••• L•left Jul 22, 2015, registered Jul 20, 2015 (-2 days) · Other
- R•••••••• A••••••• S•••••••• L••• to P••• A••••• S••••••••• L••left Mar 18, 2015, registered Mar 20, 2015 (2 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to R•••••••• A••••••• S•••••••• L•••left Feb 17, 2015, registered Mar 9, 2009 (-2171 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Jun 27, 2008, registered Jul 1, 2008 (4 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jun 27, 2008, registered Feb 26, 2008 (-122 days) · channel change inside one enterprise, 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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address