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.
S••••• E•••••• Z••••••••
- A••••••• W••••• A••••••• L•• independent RIA currentsince Feb 28, 2019 · Dunedin, Fl
- N••• F•••••••• G••••• I••• formerDec 4, 2006 to Dec 18, 2018 · Houston, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 18, 1997 to Dec 8, 2006 · Palm Harbor, Fl
- N••• F•••••••• G••••• I••• to A••••••• W••••• A••••••• L••left Dec 18, 2018, registered Feb 28, 2019 (72 days) · RIA to RIA
- A••••••••• F•••••••• S•••••••• L•• to N••• F•••••••• G••••• I•••left Dec 8, 2006, registered Dec 4, 2006 (-4 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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address