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•••• F•••••
- O••• D••• F•••••••• A••••••• state registered currentsince May 18, 2021 · Lubbock, Tx
- O••••• I••••••••• A••••••• L•• independent RIAJun 3, 2022 to Aug 4, 2023 · Lubbock, Tx
- M••••• G••••• A••••••• I••• independent RIAMay 16, 2017 to Feb 1, 2019 · Houston, Tx
- W• I••••••••• L•• independent RIAApr 23, 2008 to Mar 28, 2016 · Sugar Land, Tx
- O••••• I••••••••• A••••••• L•• to no registered destinationleft Aug 4, 2023 · Departure, no registered destination
- M••••• G••••• A••••••• I••• to O••• D••• F•••••••• A•••••••left Feb 1, 2019, registered May 18, 2021 (837 days) · RIA to a state-registered adviser
- W• I••••••••• L•• to M••••• G••••• A••••••• I•••left Mar 28, 2016, registered May 16, 2017 (414 days) · Other
- J•••••••• D•••• F••••• no longer registered at O••••• I••••••••• A••••••• L••; no later IA registration on IAPDAug 4, 2023 · Advisor departure · 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
- STATE REGISTEREDderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address