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.
W•••••• D••••• T•••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jan 19, 2022 · Fort Worth, Tx
- C••••••••• I••••••••• L•• mixed wealthJun 14, 2011 to Aug 18, 2020 · New York, Ny
- I•••••• A•••••••• I••• asset managerJan 1, 2010 to Jun 1, 2011 · Atlanta, Ga
- I•••••• A•• P•••••• A•••• M••••••••• I••• unclassifiedJun 7, 2002 to Jan 1, 2010 · Houston, Tx
- C••••••••• I••••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Aug 18, 2020, registered Jan 19, 2022 (519 days) · RIA to affiliated broker-dealer or bank
- I•••••• A•••••••• I••• to C••••••••• I••••••••• L••left Jun 1, 2011, registered Jun 14, 2011 (13 days) · Other
- I•••••• A•• P•••••• A•••• M••••••••• I••• to I•••••• A•••••••• I•••left Jan 1, 2010, registered Jan 1, 2010 (0 days) · corporate re-registration, not a move
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