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••••• G•••••• G•••••
- H•••••••• A•••••••• L•• BD affiliated currentsince Feb 9, 2023 · Dallas, Tx
- B•• A••••••• G••••• L•• unclassifiedSep 22, 2020 to Jan 30, 2023 · Dallas, Tx
- F•• S••••••••• C••••••••• formerMay 13, 2020 to Jan 31, 2023 · Dallas, Tx
- Q•••• C•••••• M••••••••• I••• formerFeb 29, 2016 to Apr 20, 2020 · Dallas, Tx
- O•••• W••••• M••••••••• L•• independent RIAJun 18, 2014 to Jun 17, 2015 · Arlington, Va
- T•• G•••••• G•••• independent RIAJan 18, 2012 to Jan 27, 2014 · Dallas, Tx
- M•• F•••••••• S•••••••• I••• formerJun 18, 2009 to Mar 21, 2011 · Dallas, Tx
- F•• S••••••••• C••••••••• to B•• A••••••• G••••• L••left Jan 31, 2023, registered Sep 22, 2020 (-861 days) · Other
- B•• A••••••• G••••• L•• to H•••••••• A•••••••• L••left Jan 30, 2023, registered Feb 9, 2023 (10 days) · Other
- Q•••• C•••••• M••••••••• I••• to F•• S••••••••• C•••••••••left Apr 20, 2020, registered May 13, 2020 (23 days) · RIA to affiliated broker-dealer or bank
- O•••• W••••• M••••••••• L•• to Q•••• C•••••• M••••••••• I•••left Jun 17, 2015, registered Feb 29, 2016 (257 days) · Other
- T•• G•••••• G•••• to O•••• W••••• M••••••••• L••left Jan 27, 2014, registered Jun 18, 2014 (142 days) · Other
- M•• F•••••••• S•••••••• I••• to T•• G•••••• G••••left Mar 21, 2011, registered Jan 18, 2012 (303 days) · Other
- S••••• G•••••• G••••• left F•• S••••••••• C••••••••• for B•• A••••••• G••••• L•• (registered 2020-09-22)Jan 31, 2023 · Advisor changed firm · fact
- S••••• G•••••• G••••• left B•• A••••••• G••••• L•• for H•••••••• A•••••••• L•• (registered 2023-02-09)Jan 30, 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address