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.
- L•• F•••••••• L•• BD affiliated currentsince May 3, 2023 · Frisco, Tx
- B•••••• W••••• A•••••••• L•• unclassifiedSep 14, 2022 to Aug 22, 2023 · Frisco, Tx
- F•• S••••••••• C••••••••• formerJul 5, 2022 to Oct 6, 2022 · Frisco, Tx
- B•••••• W••••• A•••••••• L•• to L•• F•••••••• L••left Aug 22, 2023, registered May 3, 2023 (-111 days) · Other · moved with a team
- F•• S••••••••• C••••••••• to B•••••• W••••• A•••••••• L••left Oct 6, 2022, registered Sep 14, 2022 (-22 days) · Other
- C•••••• H••• left B•••••• W••••• A•••••••• L•• for L•• F•••••••• L•• (registered 2023-05-03)Aug 22, 2023 · Advisor changed firm · fact
- C•••••• H••• left F•• S••••••••• C••••••••• for B•••••• W••••• A•••••••• L•• (registered 2022-09-14)Oct 6, 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address