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••••• S•••• W•••••
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Jun 21, 2013 · Dallas, Tx
- 1•• G••••• A••••••• I•• formerFeb 20, 2008 to Jun 5, 2013 · Dallas, Tx
- S•••••••• A••••••• L•• national BDMar 21, 2001 to Jun 9, 2003 · Dallas, Tx
- 1•• G••••• A••••••• I•• to N••••••••• M••••• I••••••••• S•••••••••left Jun 5, 2013, registered Jun 21, 2013 (16 days) · Other
- S•••••••• A••••••• L•• to 1•• G••••• A••••••• I••left Jun 9, 2003, registered Feb 20, 2008 (1717 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
- No RAUM reportedderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address