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•••••• A•••••••
- B•• P•••••••• I••• BD affiliated currentsince May 23, 2016 · Albuquerque, Nm
- G••••••• G•••• I••••••••• L•• unclassifiedJun 10, 2013 to Dec 31, 2013 · Albuquerque, Nm
- V•••• F•••••••• A•••••••• I••• BD affiliatedApr 23, 2010 to Jun 7, 2012 · Houston, Tx
- M•• F•••••••• S•••••••• I••• formerSep 6, 2007 to May 5, 2010 · Rio Rancho, Nm
- S•• I••••••••• A•••••••• I••• formerMar 12, 2004 to Feb 9, 2005 · Fresno, Ca
- M••• S••••• M••••••••• C•••••• unclassifiedAug 5, 2003 to Feb 27, 2004 · Salinas, Ca
- A••••••••• A•••••• S•••••••• I••• unclassifiedJul 23, 2003 to Aug 4, 2003 · Cupertino, Ca
- G••••••• G•••• I••••••••• L•• to B•• P•••••••• I•••left Dec 31, 2013, registered May 23, 2016 (874 days) · Other
- V•••• F•••••••• A•••••••• I••• to G••••••• G•••• I••••••••• L••left Jun 7, 2012, registered Jun 10, 2013 (368 days) · Other
- M•• F•••••••• S•••••••• I••• to V•••• F•••••••• A•••••••• I•••left May 5, 2010, registered Apr 23, 2010 (-12 days) · Other
- S•• I••••••••• A•••••••• I••• to M•• F•••••••• S•••••••• I•••left Feb 9, 2005, registered Sep 6, 2007 (939 days) · Other
- M••• S••••• M••••••••• C•••••• to S•• I••••••••• A•••••••• I•••left Feb 27, 2004, registered Mar 12, 2004 (14 days) · Other
- A••••••••• A•••••• S•••••••• I••• to M••• S••••• M••••••••• C••••••left Aug 4, 2003, registered Aug 5, 2003 (1 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address