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.
B•••••• R•••••
- B•••••••• W••••• M••••••••• state registered currentsince Mar 16, 2018 · Longview, Tx
- O••••• I••••••••• A••••••• L•• independent RIASep 3, 2021 to May 13, 2022 · Longview, Tx
- I••••• A••••••• G•••• L•• formerJan 23, 2014 to Nov 1, 2018 · Houston, Tx
- L•• F•••••••• L•• BD affiliatedSep 27, 2012 to Mar 14, 2014 · Texarkana, Tx
- R••••• F•••••••• P••••••• L•• unclassifiedJan 7, 2011 to Dec 31, 2012 · Texarkana, Tx
- W•••• F•••• A••••••• wirehouseMar 27, 2010 to Oct 5, 2010 · Texarkana, Tx
- O••••• I••••••••• A••••••• L•• to no registered destinationleft May 13, 2022 · Departure, no registered destination
- I••••• A••••••• G•••• L•• to B•••••••• W••••• M•••••••••left Nov 1, 2018, registered Mar 16, 2018 (-230 days) · RIA to a state-registered adviser
- L•• F•••••••• L•• to I••••• A••••••• G•••• L••left Mar 14, 2014, registered Jan 23, 2014 (-50 days) · Other
- R••••• F•••••••• P••••••• L•• to L•• F•••••••• L••left Dec 31, 2012, registered Sep 27, 2012 (-95 days) · Other
- W•••• F•••• A••••••• to R••••• F•••••••• P••••••• L••left Oct 5, 2010, registered Jan 7, 2011 (94 days) · Other
- B•••••• R••••• no longer registered at O••••• I••••••••• A••••••• L••; no later IA registration on IAPDMay 13, 2022 · 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address