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.
D••••• M••••••• C•••••••••
- D••••••••• F••• A••••••• L• asset manager currentsince Mar 7, 2012 · Austin, Tx
- C••••••••• F•••••••• P••••••• • W••••• M••••••••• formerAug 30, 2011 to Dec 12, 2011 · Santa Cruz, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 25, 2002 to Dec 18, 2003 · Phoenix, Az
- C••••••••• F•••••••• P••••••• • W••••• M••••••••• to D••••••••• F••• A••••••• L•left Dec 12, 2011, registered Mar 7, 2012 (86 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••••• F•••••••• P••••••• • W••••• M•••••••••left Dec 18, 2003, registered Aug 30, 2011 (2812 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address