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••••• A••••••• mixed wealth currentsince Nov 14, 2013 · Laredo, Tx
- F•••••••• A••••••• G•••• L••••• independent RIASep 9, 2011 to Feb 28, 2014 · Gig Harbor, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 20, 2004 to Sep 12, 2011 · Laredo, Tx
- F•••••••• A••••••• G•••• L••••• to C••••• A•••••••left Feb 28, 2014, registered Nov 14, 2013 (-106 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F•••••••• A••••••• G•••• L•••••left Sep 12, 2011, registered Sep 9, 2011 (-3 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address