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.
M••••• E••••••
- P••• A••••• S••••••••• L•• BD affiliated currentsince Mar 17, 2016 · Addison, Tx
- O••••••••• S••••••••• I••• BD affiliatedJul 31, 2009 to Feb 28, 2011 · Austin, Tx
- P••• A••••• S••••••••• L•• BD affiliatedJan 7, 2003 to Jun 19, 2008 · Alice, Tx
- O••••••••• S••••••••• I••• to P••• A••••• S••••••••• L••left Feb 28, 2011, registered Mar 17, 2016 (1844 days) · Other
- P••• A••••• S••••••••• L•• to O••••••••• S••••••••• I•••left Jun 19, 2008, registered Jul 31, 2009 (407 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address