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••••••••• L• N••••••••
- I•••••••• A•••• M••••••••• L•• state registered currentsince Feb 5, 2025 · Plano, Tx
- L••••••••• C•••••• M••••••••• L•• unclassifiedOct 10, 2013 to Apr 17, 2014 · Springfield, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 11, 2012 to Jun 14, 2013 · Memphis, Tn
- U•• F•••••••• S••••••• I••• wirehouseJun 21, 2007 to Nov 23, 2009 · Austin, Tx
- B••• I••••••••• S•••••••• I••• formerMar 27, 2006 to May 15, 2007 · Charlotte, Nc
- L••••••••• C•••••• M••••••••• L•• to I•••••••• A•••• M••••••••• L••left Apr 17, 2014, registered Feb 5, 2025 (3947 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L••••••••• C•••••• M••••••••• L••left Jun 14, 2013, registered Oct 10, 2013 (118 days) · Other
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 23, 2009, registered Dec 11, 2012 (1114 days) · Wirehouse to wirehouse
- B••• I••••••••• S•••••••• I••• to U•• F•••••••• S••••••• I•••left May 15, 2007, registered Jun 21, 2007 (37 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
- STATE REGISTEREDderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address