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••••••• E•••••• M•••••
- S•••••••• F•••••••• C•••••••• L•• independent RIA currentsince Feb 9, 2017 · Round Rock, Tx
- S•• W••••• M••••••••• independent RIADec 16, 2016 to Feb 27, 2017 · Towson, Md
- L•• F•••••••• L•• BD affiliatedApr 17, 2013 to Apr 5, 2017 · Cedar Park, Tx
- I•••••• A•• P•••••• A•••• M••••••••• I••• unclassifiedJun 21, 2002 to Jun 19, 2008 · Houston, Tx
- L•• F•••••••• L•• to S•• W••••• M•••••••••left Apr 5, 2017, registered Dec 16, 2016 (-110 days) · Other
- S•• W••••• M••••••••• to S•••••••• F•••••••• C•••••••• L••left Feb 27, 2017, registered Feb 9, 2017 (-18 days) · Other
- I•••••• A•• P•••••• A•••• M••••••••• I••• to L•• F•••••••• L••left Jun 19, 2008, registered Apr 17, 2013 (1763 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address