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•••• G••• M•••••
- C•••••• S••••• • C••• I••• national BD currentsince Jan 14, 2023 · Westlake, Tx
- D•••••• C••••• G••••• L•• independent RIAMar 12, 2021 to Sep 7, 2021 · The Woodlands, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedOct 21, 2016 to Dec 31, 2020 · The Woodlands, Tx
- P••• A••••• S••••••••• L•• BD affiliatedMay 7, 2015 to Nov 17, 2016 · Fort Worth, Tx
- D•••••• C••••• G••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2021, registered Jan 14, 2023 (494 days) · RIA to affiliated broker-dealer or bank
- M•• I•••••••• S•••••••• L•• to D•••••• C••••• G••••• L••left Dec 31, 2020, registered Mar 12, 2021 (71 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- P••• A••••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Nov 17, 2016, registered Oct 21, 2016 (-27 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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address