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.
H•••• R•••••• C•••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Aug 27, 2021 · Austin, Tx
- A••••••• F•••••••• A•••••••• L•• BD affiliatedSep 11, 2018 to Aug 27, 2021 · Austin, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Sep 7, 2018 · Austin, Tx
- M•• F•••••••• S•••••••• I••• formerJul 22, 2015 to Mar 25, 2017 · Austin, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerMay 7, 2014 to Jul 8, 2015 · Austin, Tx
- P••••• I••••••••• M••••••••• L•• asset managerSep 29, 2008 to Feb 18, 2009 · Boston, Ma
- A••••••• F•••••••• A•••••••• L•• to K••••• A••••••• S•••••••• L••left Aug 27, 2021, registered Aug 27, 2021 (0 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to A••••••• F•••••••• A•••••••• L••left Sep 7, 2018, registered Sep 11, 2018 (4 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- P•• M•••••• A•••••• S••••••••• I••• to M•• F•••••••• S•••••••• I•••left Jul 8, 2015, registered Jul 22, 2015 (14 days) · Other
- P••••• I••••••••• M••••••••• L•• to P•• M•••••• A•••••• S••••••••• I•••left Feb 18, 2009, registered May 7, 2014 (1904 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address