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.
R•••••• G• B••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 19, 2020 · Fort Worth, Tx
- E••••• J•••• national BDJul 21, 2017 to Oct 21, 2020 · Keller, Tx
- C•••••• O•• A•••••••• L•• formerJun 17, 2016 to Jul 18, 2017 · Mclean, Va
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedDec 18, 2014 to Jun 2, 2016 · Watauga, Tx
- L•• F•••••••• L•• BD affiliatedSep 18, 2012 to Dec 22, 2014 · Flower Mound, Tx
- E••••• J•••• to L•• F•••••••• L••left Oct 21, 2020, registered Oct 19, 2020 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
- C•••••• O•• A•••••••• L•• to E••••• J••••left Jul 18, 2017, registered Jul 21, 2017 (3 days) · Other · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C•••••• O•• A•••••••• L••left Jun 2, 2016, registered Jun 17, 2016 (15 days) · Other
- L•• F•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Dec 22, 2014, registered Dec 18, 2014 (-4 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address