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.
E••• S•••• P••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 25, 2018 · Austin, Tx
- I••••••••• P••••••••• I••• formerDec 9, 2016 to Sep 25, 2018 · Austin, Tx
- O••••••••• • C•• I••• BD affiliatedNov 1, 2010 to Dec 16, 2016 · Austin, Tx
- R••••••••• W••••• M••••••••• formerJan 16, 2009 to Nov 5, 2010 · Austin, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 11, 2006 to Dec 22, 2008 · Austin, Tx
- I••••••••• P••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 25, 2018, registered Jun 25, 2018 (-92 days) · corporate re-registration, not a move
- O••••••••• • C•• I••• to I••••••••• P••••••••• I•••left Dec 16, 2016, registered Dec 9, 2016 (-7 days) · Other
- R••••••••• W••••• M••••••••• to O••••••••• • C•• I•••left Nov 5, 2010, registered Nov 1, 2010 (-4 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R••••••••• W••••• M•••••••••left Dec 22, 2008, registered Jan 16, 2009 (25 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
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address