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.
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- M••••• S•••••• wirehouse currentsince May 13, 2022 · Austin, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 13, 2015 to May 13, 2022 · Austin, Tx
- U•• F•••••••• S••••••• I••• wirehouseDec 5, 2008 to Feb 24, 2015 · Austin, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 3, 2004 to Dec 10, 2008 · Austin, Tx
- C••••••• A•••••••• L••• unclassifiedJul 15, 2004 to Dec 31, 2004 · Austin, Tx
- E•••••• A•••••••• L••• independent RIAFeb 28, 2001 to Aug 20, 2002 · Austin, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left May 13, 2022, registered May 13, 2022 (0 days) · Wirehouse to wirehouse · moved with a team
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 24, 2015, registered Feb 13, 2015 (-11 days) · Wirehouse to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Dec 10, 2008, registered Dec 5, 2008 (-5 days) · Wirehouse to wirehouse
- C••••••• A•••••••• L••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 31, 2004, registered Aug 3, 2004 (-150 days) · Other
- E•••••• A•••••••• L••• to C••••••• A•••••••• L•••left Aug 20, 2002, registered Jul 15, 2004 (695 days) · Other
- M•••••• L• C••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for M••••• S•••••• (registered 2022-05-13)May 13, 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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address