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.
L•••• G••• B••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 24, 2016 · Ft. Worth, Tx
- W•• A•••••••• L• formerMay 29, 2015 to Jun 27, 2016 · Fort Worth, Tx
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jun 12, 2015 · Midlothian, Tx
- C•••• I••••••••• S••••••• C•••• formerMay 27, 2011 to Oct 1, 2012 · Midlothian, Tx
- I••••••••• S••••••••• C••••••••• formerNov 11, 2010 to Jun 2, 2011 · Dallas, Tx
- W•••• F•••• A••••••• wirehouseAug 20, 2009 to Nov 2, 2010 · Arlington, Tx
- W•• A•••••••• L• to L•• F•••••••• L••left Jun 27, 2016, registered Jun 24, 2016 (-3 days) · Other
- J••• M••••• S••••••••• L•• to W•• A•••••••• L•left Jun 12, 2015, registered May 29, 2015 (-14 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- I••••••••• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jun 2, 2011, registered May 27, 2011 (-6 days) · Other
- W•••• F•••• A••••••• to I••••••••• S••••••••• C•••••••••left Nov 2, 2010, registered Nov 11, 2010 (9 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
- 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