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•••••• A•••• G•••••
- M••••••• I••••••••• N•••••• I••• BD affiliated currentsince Sep 27, 2024 · Georgetown, Tx
- L•• F•••••••• L•• BD affiliatedSep 8, 2009 to Oct 11, 2024 · Georgetown, Tx
- R••••••••• W••••• M••••••••• formerJan 14, 2004 to Sep 17, 2009 · Austin, Tx
- M••••• S•••••• D• I••• unclassifiedApr 4, 1994 to Oct 31, 2002 · Austin, Tx
- L•• F•••••••• L•• to M••••••• I••••••••• N•••••• I•••left Oct 11, 2024, registered Sep 27, 2024 (-14 days) · Affiliated broker-dealer or bank to another
- R••••••••• W••••• M••••••••• to L•• F•••••••• L••left Sep 17, 2009, registered Sep 8, 2009 (-9 days) · Other
- M••••• S•••••• D• I••• to R••••••••• W••••• M•••••••••left Oct 31, 2002, registered Jan 14, 2004 (440 days) · Other
- G•••••• A•••• G••••• left L•• F•••••••• L•• for M••••••• I••••••••• N•••••• I••• (registered 2024-09-27)Oct 11, 2024 · 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address