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.
L•••••••• L••••
- P••••••• W••••• C•••••• I••• independent RIA currentsince Jul 24, 2014 · Palm Beach Gardens, Fl
- M••••• K••••• • C••••••• L•• formerJun 2, 2008 to Dec 31, 2008 · Austin, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Jan 24, 2008 · Austin, Tx
- C••••••• I••••••••• S••••••• unclassifiedFeb 28, 2006 to May 29, 2007 · Austin, Tx
- N••••• F••••••••• L•• unclassifiedApr 26, 2005 to Feb 28, 2006 · Austin, Tx
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Jan 7, 2005 · Austin, Tx
- P••••••••• E••••• G••••• L•• unclassifiedJun 11, 1999 to Jul 1, 2003 · Austin, Tx
- M••••• K••••• • C••••••• L•• to P••••••• W••••• C•••••• I•••left Dec 31, 2008, registered Jul 24, 2014 (2031 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• K••••• • C••••••• L••left Jan 24, 2008, registered Jun 2, 2008 (130 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- N••••• F••••••••• L•• to C••••••• I••••••••• S•••••••left Feb 28, 2006, registered Feb 28, 2006 (0 days) · Other
- W•••• F•••• A••••••• to N••••• F••••••••• L••left Jan 7, 2005, registered Apr 26, 2005 (109 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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