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••••• B••••
- A•••••••• P•••••••• L•• independent RIA currentsince May 31, 2019 · Austin, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to May 6, 2019 · Austin, Tx
- M••••• S•••••• • C•• L•• unclassifiedApr 27, 2009 to Jun 1, 2009 · Austin, Tx
- U•• F•••••••• S••••••• I••• wirehouseFeb 6, 2004 to May 5, 2009 · Austin, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 30, 1995 to Feb 10, 2004 · Austin, Tx
- M••••• S•••••• to A•••••••• P•••••••• L••left May 6, 2019, registered May 31, 2019 (25 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M••••• S•••••• • C•• L••left May 5, 2009, registered Apr 27, 2009 (-8 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Feb 10, 2004, registered Feb 6, 2004 (-4 days) · Wirehouse to wirehouse
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address