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••••• H••••• L••••••••
- M••••••••• C••••••• L•• independent RIA currentsince Jan 1, 2018 · Austin, Tx
- K••••• A••••••• S•••••••• L•• BD affiliatedApr 29, 2016 to Dec 1, 2017 · Austin, Tx
- N•• A•••••• S•••••••• L•• formerOct 13, 2010 to Sep 22, 2016 · Austin, Tx
- L•••••••• W••••• M••••••••• G••••• L•• unclassifiedMay 8, 2003 to Jan 17, 2012 · Austin, Tx
- E•••• S••••••••• L•• BD affiliatedDec 3, 1999 to Nov 11, 2010 · Austin, Tx
- K••••• A••••••• S•••••••• L•• to M••••••••• C••••••• L••left Dec 1, 2017, registered Jan 1, 2018 (31 days) · Other
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 22, 2016, registered Apr 29, 2016 (-146 days) · corporate re-registration, not a move
- L•••••••• W••••• M••••••••• G••••• L•• to N•• A•••••• S•••••••• L••left Jan 17, 2012, registered Oct 13, 2010 (-461 days) · Other
- E•••• S••••••••• L•• to L•••••••• W••••• M••••••••• G••••• L••left Nov 11, 2010, registered May 8, 2003 (-2744 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address