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••••• F•••••••
- E•• F•••••••• A••••••• independent RIA currentsince Jul 25, 2024 · Montpelier, Vt
- K••••• A••••••• S•••••••• L•• BD affiliatedApr 18, 2016 to Apr 21, 2023 · Austin, Tx
- N•• A•••••• S•••••••• L•• formerJun 16, 2015 to Sep 22, 2016 · Austin, Tx
- L••• S••••• A•••••••• L•• formerMar 23, 2015 to Jun 8, 2015 · Austin, Tx
- N•• A•••••• S•••••••• L•• formerJun 5, 2012 to Mar 24, 2015 · Austin, Tx
- S•••••• M••••• L•• independent RIAJun 24, 2010 to May 31, 2012 · Houston, Tx
- N•• A•••••• S•••••••• L•• formerOct 29, 2007 to Apr 30, 2009 · Austin, Tx
- 1••• C•••••• M••••••••• C•••••• unclassifiedApr 7, 2006 to Oct 26, 2007 · Midlothian, Va
- K••••• A••••••• S•••••••• L•• to E•• F•••••••• A•••••••left Apr 21, 2023, registered Jul 25, 2024 (461 days) · Affiliated broker-dealer or bank to independent RIA
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 22, 2016, registered Apr 18, 2016 (-157 days) · corporate re-registration, not a move
- L••• S••••• A•••••••• L•• to N•• A•••••• S•••••••• L••left Jun 8, 2015, registered Jun 16, 2015 (8 days) · Other
- N•• A•••••• S•••••••• L•• to L••• S••••• A•••••••• L••left Mar 24, 2015, registered Mar 23, 2015 (-1 days) · Other
- S•••••• M••••• L•• to N•• A•••••• S•••••••• L••left May 31, 2012, registered Jun 5, 2012 (5 days) · Other
- N•• A•••••• S•••••••• L•• to S•••••• M••••• L••left Apr 30, 2009, registered Jun 24, 2010 (420 days) · Other
- 1••• C•••••• M••••••••• C•••••• to N•• A•••••• S•••••••• L••left Oct 26, 2007, registered Oct 29, 2007 (3 days) · Other
- R••••• F••••••• left K••••• A••••••• S•••••••• L•• for E•• F•••••••• A••••••• (registered 2024-07-25)Apr 21, 2023 · a•••••• firm change · 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address