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••• J••••••
- H•••••••• A•••••••• L•• BD affiliated currentsince Oct 4, 2020 · Dallas, Tx
- F••••••• I••••••••• M••••••••• C• formerMay 6, 2015 to Nov 16, 2020 · Dallas, Tx
- T•• G•••••• G•••• independent RIAFeb 18, 2015 to Aug 10, 2015 · Dallas, Tx
- C•••• W•••••• • A••••••••• L•• independent RIAApr 9, 2012 to Jan 6, 2015 · Plano, Tx
- F••••••• I••••••••• M••••••••• C• to H•••••••• A•••••••• L••left Nov 16, 2020, registered Oct 4, 2020 (-43 days) · corporate re-registration, not a move
- T•• G•••••• G•••• to F••••••• I••••••••• M••••••••• C•left Aug 10, 2015, registered May 6, 2015 (-96 days) · Other
- C•••• W•••••• • A••••••••• L•• to T•• G•••••• G••••left Jan 6, 2015, registered Feb 18, 2015 (43 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