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.
W•••••• P••• F•••••••••
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIA currentsince Mar 8, 2007 · Albuquerque, Nm
- U•• F•••••••• S••••••• I••• wirehouseOct 24, 2003 to Mar 7, 2007 · Santa Fe, Nm
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 14, 1998 to Oct 30, 2003 · Albuquerque, Nm
- U•• F•••••••• S••••••• I••• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left Mar 7, 2007, registered Mar 8, 2007 (1 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Oct 30, 2003, registered Oct 24, 2003 (-6 days) · Wirehouse to wirehouse
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address