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.
C••••• M•••••• R•••••••
- F••••• I••••••••• independent RIA currentsince May 25, 2021 · Plano, Tx
- U•• F•••••••• S••••••• I••• wirehouseNov 4, 2019 to Feb 2, 2021 · Denver, Co
- M••••• S•••••• wirehouseJun 19, 2019 to Oct 28, 2019 · Fort Worth, Tx
- P••••••• F•••••••• S•••••••• I••• BD affiliatedJan 22, 2019 to Jun 13, 2019 · Grapevine, Tx
- U•• F•••••••• S••••••• I••• to F••••• I•••••••••left Feb 2, 2021, registered May 25, 2021 (112 days) · Wirehouse to independent RIA
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Oct 28, 2019, registered Nov 4, 2019 (7 days) · Wirehouse to wirehouse
- P••••••• F•••••••• S•••••••• I••• to M••••• S••••••left Jun 13, 2019, registered Jun 19, 2019 (6 days) · RIA to wirehouse
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address