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.
G••••• E••••• P••••
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince May 24, 2011 · Leander, Tx
- C•••••• F•••••••• S•••••••• I••• formerApr 15, 2008 to May 17, 2011 · Minot, Nd
- B••••• M•••• A•••••••• I••• unclassifiedOct 4, 2006 to May 9, 2008 · Dallas, Tx
- S•••••• G••• F•••••••• C••••••••• unclassifiedFeb 16, 2005 to Aug 19, 2005 · Round Rock, Tx
- C•••••• F•••••••• S•••••••• I••• to I••••••••• F•••••••• G••••• L••left May 17, 2011, registered May 24, 2011 (7 days) · Other
- B••••• M•••• A•••••••• I••• to C•••••• F•••••••• S•••••••• I•••left May 9, 2008, registered Apr 15, 2008 (-24 days) · Other
- S•••••• G••• F•••••••• C••••••••• to B••••• M•••• A•••••••• I•••left Aug 19, 2005, registered Oct 4, 2006 (411 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address