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••• W•••••• M•••••••
- R•• A•••••••• L•• independent RIA currentsince Mar 6, 2023 · Vestavia Hills, Al
- A••••••••• F•••••••• S•••••••• L•• national BDApr 27, 2016 to Mar 19, 2023 · Fort Worth, Tx
- U••• F•••••••• P••••••• S••••••• formerFeb 27, 2014 to Apr 29, 2016 · Addison, Tx
- T• A••••••••• I••• formerFeb 8, 2012 to Jan 2, 2014 · Westlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 8, 2012 to Jan 2, 2014 · Fort Worth, Tx
- C•••• I••••••••• S••••••• C•••• formerJul 27, 2010 to Jun 20, 2011 · Ft. Worth, Tx
- E••••• J•••• national BDMar 1, 2010 to May 6, 2010 · Colleyville, Tx
- A••••••••• F•••••••• S•••••••• L•• to R•• A•••••••• L••left Mar 19, 2023, registered Mar 6, 2023 (-13 days) · Affiliated broker-dealer or bank to independent RIA
- U••• F•••••••• P••••••• S••••••• to A••••••••• F•••••••• S•••••••• L••left Apr 29, 2016, registered Apr 27, 2016 (-2 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jan 2, 2014, registered Feb 8, 2012 (-694 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to U••• F•••••••• P••••••• S•••••••left Jan 2, 2014, registered Feb 27, 2014 (56 days) · Other
- C•••• I••••••••• S••••••• C•••• to T• A••••••••• I••••••••• M••••••••• L••left Jun 20, 2011, registered Feb 8, 2012 (233 days) · Other
- E••••• J•••• to C•••• I••••••••• S••••••• C••••left May 6, 2010, registered Jul 27, 2010 (82 days) · Other
- S••• W•••••• M••••••• left A••••••••• F•••••••• S•••••••• L•• for R•• A•••••••• L•• (registered 2023-03-06)Mar 19, 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
- Independent wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address