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.
W•••••• L••••••• C••••••
- J• W• C••• A•••••••• I••• BD affiliated currentsince Apr 18, 2019 · Waco, Tx
- G••••• F•••••••• P•••••• C••••••• I••• formerApr 13, 2016 to Apr 24, 2019 · Sarasota, Fl
- C•••••• W••••• A••••••• L•• unclassifiedMar 17, 2011 to Oct 27, 2016 · Waco, Tx
- G••••• F•••••••• P•••••• C••••••• I••• to J• W• C••• A•••••••• I•••left Apr 24, 2019, registered Apr 18, 2019 (-6 days) · corporate re-registration, not a move
- C•••••• W••••• A••••••• L•• to G••••• F•••••••• P•••••• C••••••• I•••left Oct 27, 2016, registered Apr 13, 2016 (-197 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address