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.
C••••••••• D••••• C••••
- V•••••• P•••••• W••••• independent RIA currentsince Nov 2, 2018 · Boise, Id
- A••• C••••••• I••• formerJul 9, 2013 to Nov 5, 2018 · Austin, Tx
- F••••• I••••••••• independent RIANov 8, 2006 to Jul 9, 2013 · Mandeville, La
- W•••• F•••• A••••••• wirehouseMar 31, 2004 to Oct 4, 2006 · Mandeville, La
- A••• C••••••• I••• to V•••••• P•••••• W•••••left Nov 5, 2018, registered Nov 2, 2018 (-3 days) · RIA to RIA
- F••••• I••••••••• to A••• C••••••• I•••left Jul 9, 2013, registered Jul 9, 2013 (0 days) · Other
- W•••• F•••• A••••••• to F••••• I•••••••••left Oct 4, 2006, registered Nov 8, 2006 (35 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address