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.
M••• R•••••• G••••••
- F•••• C•••••• A••••••• S••••••• BD affiliated currentsince Jul 2, 2021 · Fort Worth, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMSep 25, 2019 to Jul 23, 2020 · Addison, Tx
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAOct 15, 2018 to Aug 13, 2019 · Irving, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Nov 7, 2017 · Fort Worth, Tx
- M•• F•••••••• S•••••••• I••• formerSep 2, 2014 to Mar 25, 2017 · Walnut Creek, Ca
- U••• I••••••••• S••••••• C•••••• to F•••• C•••••• A••••••• S•••••••left Jul 23, 2020, registered Jul 2, 2021 (344 days) · Other
- M••••• O• O•••• I••••••• S•••••••• I••• to U••• I••••••••• S••••••• C••••••left Aug 13, 2019, registered Sep 25, 2019 (43 days) · Other
- M•• I•••••••• S•••••••• L•• to M••••• O• O•••• I••••••• S•••••••• I•••left Nov 7, 2017, registered Oct 15, 2018 (342 days) · Other
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address