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••••• A••• H••••••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Apr 20, 2016 · Houston, Tx
- C••••• C••••••• L•• formerMar 2, 2009 to Sep 15, 2015 · Denver, Co
- N•• A•••••• S•••••••• L•• formerDec 17, 2007 to Feb 17, 2009 · Austin, Tx
- C••••• C••••••• L•• formerSep 6, 2005 to Aug 20, 2007 · Denver, Co
- M••••• S•••••• C••••••••• unclassifiedNov 9, 2000 to Mar 16, 2004 · West Palm Beach, Fl
- C••••• C••••••• L•• to A••••• A•• P••••••• S•••••••left Sep 15, 2015, registered Apr 20, 2016 (218 days) · Other
- N•• A•••••• S•••••••• L•• to C••••• C••••••• L••left Feb 17, 2009, registered Mar 2, 2009 (13 days) · Other
- C••••• C••••••• L•• to N•• A•••••• S•••••••• L••left Aug 20, 2007, registered Dec 17, 2007 (119 days) · Other
- M••••• S•••••• C••••••••• to C••••• C••••••• L••left Mar 16, 2004, registered Sep 6, 2005 (539 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