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.
H••••• L•• A••••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jan 4, 2023 · Flower Mound, Tx
- H•••• C•••••• L•• unclassifiedMay 17, 2021 to Oct 28, 2022 · Dallas, Tx
- T• P•••••• W••••• independent RIAOct 17, 2018 to Mar 1, 2019 · Southlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 10, 2015 to Oct 12, 2018 · Fort Worth, Tx
- T• A••••••••• I••• formerJan 10, 2015 to Oct 12, 2018 · Westlake, Tx
- H•••• C•••••• L•• to J••• M••••• S••••••••• L••left Oct 28, 2022, registered Jan 4, 2023 (68 days) · Other
- T• P•••••• W••••• to H•••• C•••••• L••left Mar 1, 2019, registered May 17, 2021 (808 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• P•••••• W•••••left Oct 12, 2018, registered Oct 17, 2018 (5 days) · RIA to RIA
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 12, 2018, registered Jan 10, 2015 (-1371 days) · Other · moved with a team
- H••••• L•• A•••••••• left H•••• C•••••• L•• for J••• M••••• S••••••••• L•• (registered 2023-01-04)Oct 28, 2022 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address