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.
M•••••• S•••• T•••••
- C•••••• S••••• • C••• I••• national BD currentsince Sep 29, 2021 · Austin, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 3, 2020 to Sep 3, 2021 · Austin, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerApr 22, 2020 to May 8, 2020 · Austin, Tx
- C••• F•••••••• S•••••••• L••• formerAug 21, 2015 to Mar 12, 2020 · Austin, Tx
- W•••• F•••• A••••••• wirehouseSep 5, 2006 to Jul 21, 2015 · Alpharetta, Ga
- F•••• C•••••• F•••••••• P•••••••• I••• formerSep 2, 2005 to Feb 28, 2006 · O'Fallon, Il
- F•••• C•••••• B••• unclassifiedApr 5, 2004 to Sep 2, 2005 · Fort Worth, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••left Sep 3, 2021, registered Sep 29, 2021 (26 days) · Affiliated broker-dealer or bank to another
- P•• M•••••• A•••••• S••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left May 8, 2020, registered Jun 3, 2020 (26 days) · Affiliated broker-dealer or bank to another
- C••• F•••••••• S•••••••• L••• to P•• M•••••• A•••••• S••••••••• I•••left Mar 12, 2020, registered Apr 22, 2020 (41 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to C••• F•••••••• S•••••••• L•••left Jul 21, 2015, registered Aug 21, 2015 (31 days) · Other
- F•••• C•••••• F•••••••• P•••••••• I••• to W•••• F•••• A•••••••left Feb 28, 2006, registered Sep 5, 2006 (189 days) · Other
- F•••• C•••••• B••• to F•••• C•••••• F•••••••• P•••••••• I•••left Sep 2, 2005, registered Sep 2, 2005 (0 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
- National broker-dealer RIAderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address