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••••• R•••••• G••••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 24, 2009 · South Jordan, Ut
- W••••••••• W••••• M••••••••• L•• independent RIAAug 8, 2006 to Oct 26, 2009 · Hoffman Estates, Il
- A••••••••• P••••••• I••••••••• A••••••• I•• unclassifiedJun 4, 2004 to Sep 24, 2009 · Houston, Tx
- W• G••••••• S••••••••• I••• unclassifiedSep 1, 2000 to Jun 8, 2004 · Houston, Tx
- W••••••••• W••••• M••••••••• L•• to L•• F•••••••• L••left Oct 26, 2009, registered Sep 24, 2009 (-32 days) · Other
- A••••••••• P••••••• I••••••••• A••••••• I•• to W••••••••• W••••• M••••••••• L••left Sep 24, 2009, registered Aug 8, 2006 (-1143 days) · Other
- W• G••••••• S••••••••• I••• to A••••••••• P••••••• I••••••••• A••••••• I••left Jun 8, 2004, registered Jun 4, 2004 (-4 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address