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.
R•••• V•• B••••••
- C•••••• S••••• • C••• I••• national BD currentsince Feb 19, 2021 · Westlake, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Feb 16, 2021 · Boston, Ma
- S•••••••• A••••••• L•• national BDMar 23, 2015 to Jul 13, 2018 · Southfield, Mi
- C••••••• P••••••• independent RIAFeb 28, 2014 to Jan 9, 2015 · Lantana, Tx
- G•••••• S•••• W••••• S•••••••• L••• BD affiliatedSep 23, 2010 to Feb 11, 2014 · Dallas, Tx
- F••••••• P••••••• T•••• C••••••• F•• unclassifiedNov 22, 2004 to Mar 28, 2007 · Westlake, Tx
- S•••••••• A••••••• L•• national BDNov 18, 2004 to Aug 31, 2007 · Westlake, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••left Feb 16, 2021, registered Feb 19, 2021 (3 days) · Affiliated broker-dealer or bank to another · moved with a team
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- C••••••• P••••••• to S•••••••• A••••••• L••left Jan 9, 2015, registered Mar 23, 2015 (73 days) · Other
- G•••••• S•••• W••••• S•••••••• L••• to C••••••• P•••••••left Feb 11, 2014, registered Feb 28, 2014 (17 days) · Other
- S•••••••• A••••••• L•• to F••••••• P••••••• T•••• C••••••• F••left Aug 31, 2007, registered Nov 22, 2004 (-1012 days) · Other
- F••••••• P••••••• T•••• C••••••• F•• to G•••••• S•••• W••••• S•••••••• L•••left Mar 28, 2007, registered Sep 23, 2010 (1275 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address