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.
G••••• L• W•••••••••
- P••• A••••• S••••••••• L•• BD affiliated currentsince Feb 8, 2011 · Austin, Tx
- S••••• F•••••••• S•••••••• I••• formerFeb 15, 2008 to Dec 9, 2010 · Round Rock, Tx
- D•• I••••••• S••••••• unclassifiedJun 20, 2006 to Jul 2, 2007 · La Grange, Tx
- N•• E•••••• S••••••••• C••••••••• formerDec 16, 2002 to Jun 15, 2006 · Austin, Tx
- S••••• F•••••••• S•••••••• I••• to P••• A••••• S••••••••• L••left Dec 9, 2010, registered Feb 8, 2011 (61 days) · Other
- D•• I••••••• S••••••• to S••••• F•••••••• S•••••••• I•••left Jul 2, 2007, registered Feb 15, 2008 (228 days) · Other
- N•• E•••••• S••••••••• C••••••••• to D•• I••••••• S•••••••left Jun 15, 2006, registered Jun 20, 2006 (5 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address