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.
- F••••• I••••••••• independent RIA currentsince May 15, 2019 · Plano, Tx
- A•••••• R••••••• C•••••• independent RIASep 14, 2018 to Jan 8, 2019 · Southlake, Tx
- W•••• F•••• A••••••• wirehouseMay 23, 2014 to Sep 18, 2018 · Flower Mound, Tx
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jun 3, 2014 · Ft. Worth, Tx
- C•••• I••••••••• S••••••• C•••• formerJul 26, 2011 to Oct 1, 2012 · Fort Worth, Tx
- A•••••• R••••••• C•••••• to F••••• I•••••••••left Jan 8, 2019, registered May 15, 2019 (127 days) · RIA to RIA
- W•••• F•••• A••••••• to A•••••• R••••••• C••••••left Sep 18, 2018, registered Sep 14, 2018 (-4 days) · Wirehouse to independent RIA
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Jun 3, 2014, registered May 23, 2014 (-11 days) · Wirehouse to wirehouse
- 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
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