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•• BD affiliated currentsince Aug 23, 2017 · Ann Arbor, Mi
- W•• A•••••••• L• formerAug 30, 2013 to Aug 23, 2017 · Lakeway, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDJan 2, 2009 to Sep 4, 2013 · Austin, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 2, 2003 to Jan 13, 2009 · Austin, Tx
- S•••••••• A••••••• L•• national BDNov 2, 1999 to May 27, 2003 · Austin, Tx
- W•• A•••••••• L• to S••left Aug 23, 2017, registered Aug 23, 2017 (0 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to W•• A•••••••• L•left Sep 4, 2013, registered Aug 30, 2013 (-5 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Jan 13, 2009, registered Jan 2, 2009 (-11 days) · Wirehouse to affiliated broker-dealer or bank
- S•••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 27, 2003, registered May 2, 2003 (-25 days) · Affiliated broker-dealer or bank to wirehouse
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address