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.
- D•• A••••••• independent RIA currentsince Jun 6, 2023 · Denton, Tx
- B•• P•••••••• I••• BD affiliatedJul 31, 2017 to Jul 3, 2023 · Denton, Tx
- J••• M••••• S••••••••• L•• wirehouseJun 11, 2015 to Jul 12, 2017 · Highland Village, Tx
- S•••••••• A••••••• L•• national BDDec 10, 2014 to May 12, 2015 · Westlake, Tx
- B•• P•••••••• I••• to D•• A•••••••left Jul 3, 2023, registered Jun 6, 2023 (-27 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- J••• M••••• S••••••••• L•• to B•• P•••••••• I•••left Jul 12, 2017, registered Jul 31, 2017 (19 days) · Other
- S•••••••• A••••••• L•• to J••• M••••• S••••••••• L••left May 12, 2015, registered Jun 11, 2015 (30 days) · Affiliated broker-dealer or bank to wirehouse
- D•••••• M••••• M••••••• left B•• P•••••••• I••• for D•• A••••••• (registered 2023-06-06)Jul 3, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address