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.
A••••• R•••• P•••••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2024 · El Paso, Tx
- C••••• A•••••• N••••••• L•• formerAug 3, 2018 to Feb 19, 2019 · Alamogordo, Nm
- S••••••••• A•••••• A•••••••• I••• formerJul 7, 2014 to Aug 6, 2018 · Alamogordo, Nm
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliatedMay 19, 2010 to Jun 5, 2014 · Alamogordo, Nm
- L•• F•••••••• L•• BD affiliatedMay 20, 2008 to May 26, 2010 · Alamogordo, Nm
- W••••••• F•••••••• S•••••••• I••• formerMay 26, 2006 to May 20, 2008 · Topeka, Ks
- C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••left Feb 19, 2019, registered Mar 21, 2024 (1857 days) · Affiliated broker-dealer or bank to another
- S••••••••• A•••••• A•••••••• I••• to C••••• A•••••• N••••••• L••left Aug 6, 2018, registered Aug 3, 2018 (-3 days) · Affiliated broker-dealer or bank to another
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Jun 5, 2014, registered Jul 7, 2014 (32 days) · Other
- L•• F•••••••• L•• to B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••left May 26, 2010, registered May 19, 2010 (-7 days) · Other
- W••••••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left May 20, 2008, registered May 20, 2008 (0 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address