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•••••• E•••• F•••••
- O•••••• F••••••••• L•• independent RIA currentsince Mar 22, 2019 · Dallas, Tx
- L••• P•••• W••••• M••••••••• L•• formerMay 26, 2016 to Apr 18, 2019 · Heath, Tx
- A•••••• R••••••• C•••••• independent RIASep 11, 2014 to Sep 23, 2015 · Dallas, Tx
- U••••• C•••••• F•••••••• A••••••• independent RIAFeb 7, 2013 to Jul 25, 2014 · Irving, Tx
- L•• F•••••••• L•• BD affiliatedSep 29, 2011 to Nov 7, 2011 · Irving, Tx
- L••• P•••• W••••• M••••••••• L•• to O•••••• F••••••••• L••left Apr 18, 2019, registered Mar 22, 2019 (-27 days) · RIA to RIA
- A•••••• R••••••• C•••••• to L••• P•••• W••••• M••••••••• L••left Sep 23, 2015, registered May 26, 2016 (246 days) · Other
- U••••• C•••••• F•••••••• A••••••• to A•••••• R••••••• C••••••left Jul 25, 2014, registered Sep 11, 2014 (48 days) · Other
- L•• F•••••••• L•• to U••••• C•••••• F•••••••• A•••••••left Nov 7, 2011, registered Feb 7, 2013 (458 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
- Independent wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address