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.
T•••• D••• L••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 19, 2022 · T••••, Tx
- W•••• F•••• A••••••• wirehouseOct 7, 2016 to Jan 20, 2022 · T••••, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerApr 28, 2016 to Sep 16, 2016 · College Station, Tx
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jan 20, 2022, registered Jan 19, 2022 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- P•• M•••••• A•••••• S••••••••• I••• to W•••• F•••• A•••••••left Sep 16, 2016, registered Oct 7, 2016 (21 days) · Other
- T•••• D••• L•••• left W•••• F•••• A••••••• for L•• F•••••••• L•• (registered 2022-01-19)Jan 20, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address