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.
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- C•••••••• G••••• I••••••••• I••• mixed wealth currentsince Jan 4, 2013 · Houston, Tx
- C••••••• F•••••••• S••••••••• L•• formerAug 19, 2004 to Dec 31, 2012 · Springfield, Mo
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 31, 1993 to Jun 18, 2004 · Wichita, Ks
- C••••••• F•••••••• S••••••••• L•• to C•••••••• G••••• I••••••••• I•••left Dec 31, 2012, registered Jan 4, 2013 (4 days) · Other
- C•••••••• G••••• M•••••• I••• to C••••••• F•••••••• S••••••••• L••left Jun 18, 2004, registered Aug 19, 2004 (62 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address