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•••••• D••••••• J••••
- R••• F•••••••• P••••••• independent RIA currentsince Apr 12, 2024 · Centennial, Co
- M•••• W••••• A•••••••• L•• independent RIAAug 15, 2022 to Jun 19, 2023 · Southlake, Tx
- C•••• W•••••• • A••••••••• L•• independent RIASep 17, 2021 to Sep 30, 2022 · Frisco, Tx
- M•••• W••••• A•••••••• L•• to R••• F•••••••• P•••••••left Jun 19, 2023, registered Apr 12, 2024 (298 days) · RIA to RIA
- C•••• W•••••• • A••••••••• L•• to M•••• W••••• A•••••••• L••left Sep 30, 2022, registered Aug 15, 2022 (-46 days) · RIA to RIA
- C•••••• D••••••• J•••• left M•••• W••••• A•••••••• L•• for R••• F•••••••• P••••••• (registered 2024-04-12)Jun 19, 2023 · Advisor changed firm · fact
- C•••••• D••••••• J•••• left C•••• W•••••• • A••••••••• L•• for M•••• W••••• A•••••••• L•• (registered 2022-08-15)Sep 30, 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
- Independent wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address