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.
D•••• W••••• C••••••
- C•••••• F•••••••• S•••••••• L•• state registered currentsince Dec 18, 2008 · Las Cruces, Nm
- E•••••••• F•••••••• P•••••••• I••• unclassifiedOct 31, 2006 to Mar 28, 2008 · Albuquerque, Nm
- T•••••••• I••••••••• M••••••••• I•• asset managerApr 26, 2004 to Nov 14, 2006 · Santa Fe, Nm
- U•••••••• A••••••• S••••••• I•• unclassifiedFeb 10, 2003 to May 22, 2003 · Albuquerque, Nm
- E•••••••• F•••••••• P•••••••• I••• to C•••••• F•••••••• S•••••••• L••left Mar 28, 2008, registered Dec 18, 2008 (265 days) · Other
- T•••••••• I••••••••• M••••••••• I•• to E•••••••• F•••••••• P•••••••• I•••left Nov 14, 2006, registered Oct 31, 2006 (-14 days) · Other
- U•••••••• A••••••• S••••••• I•• to T•••••••• I••••••••• M••••••••• I••left May 22, 2003, registered Apr 26, 2004 (340 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