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.
C••• S• G••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 3, 2022 · Albuquerque, Nm
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 3, 2011 to Nov 3, 2022 · Dallas, Tx
- V••• F•••••••• P•••••••• L•• formerJun 30, 2004 to Jan 3, 2011 · Albuquerque, Nm
- V••• F•••••••• A•••••••• I••• BD affiliatedMar 13, 2000 to Jun 30, 2004 · Albuquerque, Nm
- V••• F•••••••• A•••••••• I••• to L•• F•••••••• L••left Nov 3, 2022, registered Nov 3, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- V••• F•••••••• P•••••••• L•• to V••• F•••••••• A•••••••• I•••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- V••• F•••••••• A•••••••• I••• to V••• F•••••••• P•••••••• L••left Jun 30, 2004, registered Jun 30, 2004 (0 days) · Other
- C••• S• G•••• left V••• F•••••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2022-11-03)Nov 3, 2022 · Advisor changed firm · fact
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