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.
J•••• D•• C•••••
- F•••• C•••••• A••••••• S••••••• BD affiliated currentsince Feb 17, 2023 · Fort Worth, Tx
- S•• C•••••• A••••••• L•• institutionalApr 14, 2009 to Jan 20, 2023 · Fort Worth, Tx
- S•••••• M••••• L•• independent RIAFeb 23, 2009 to Apr 14, 2009 · Fort Worth, Tx
- S•• C•••••• A••••••• L•• to F•••• C•••••• A••••••• S•••••••left Jan 20, 2023, registered Feb 17, 2023 (28 days) · Other
- S•••••• M••••• L•• to S•• C•••••• A••••••• L••left Apr 14, 2009, registered Apr 14, 2009 (0 days) · Other
- J•••• D•• C••••• left S•• C•••••• A••••••• L•• for F•••• C•••••• A••••••• S••••••• (registered 2023-02-17)Jan 20, 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address