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•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Nov 27, 2023 · Kerrville, Tx
- C•••• C•••••• S••••••••• L••• formerMar 4, 2013 to Dec 14, 2023 · Orange, Ca
- O•••• W•••••• I••• BD affiliatedFeb 7, 2006 to Mar 7, 2013 · Albuquerque, Nm
- C•••• C•••••• S••••••••• L••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 14, 2023, registered Nov 27, 2023 (-17 days) · Affiliated broker-dealer or bank to another
- O•••• W•••••• I••• to C•••• C•••••• S••••••••• L•••left Mar 7, 2013, registered Mar 4, 2013 (-3 days) · Other
- W•••••• E••••• H••••••••• left C•••• C•••••• S••••••••• L••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2023-11-27)Dec 14, 2023 · Advisor changed firm · fact
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