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.
J••••• D•••••• B•••••••
- B••••••• W••••• M••••••••• independent RIA currentsince Aug 26, 2019 · Fort Worth, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Jun 24, 2019 · Boston, Ma
- S•••••••• A••••••• L•• national BDNov 30, 2015 to Jul 13, 2018 · The Woodlands, Tx
- V•••• F•••••••• A•••••••• I••• BD affiliatedApr 29, 2013 to Aug 27, 2015 · Linthicum Heights, Md
- F••••••• P••••••• A•• W•••••••• A••••••• to B••••••• W••••• M•••••••••left Jun 24, 2019, registered Aug 26, 2019 (63 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- V•••• F•••••••• A•••••••• I••• to S•••••••• A••••••• L••left Aug 27, 2015, registered Nov 30, 2015 (95 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address