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.
S•••• E••••• C•••
- P••••••••• S••••••••• C••••••••• independent RIA currentsince Jul 30, 2012 · Alamo, Tn
- C••••• A•••••• N••••••• L•• formerApr 30, 2009 to Jul 26, 2012 · Gadsden, Tn
- S••••• F•••••••• S•••••••• I••• formerApr 6, 2004 to Apr 17, 2009 · Gadsden, Tn
- C••••• A•••••• N••••••• L•• to P••••••••• S••••••••• C•••••••••left Jul 26, 2012, registered Jul 30, 2012 (4 days) · Other
- S••••• F•••••••• S•••••••• I••• to C••••• A•••••• N••••••• L••left Apr 17, 2009, registered Apr 30, 2009 (13 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
- Independent wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address