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.
- C•••••• A••••••• BD affiliated currentsince Jan 31, 2018 · Frisco, Tx
- L•••••• I••••••••• independent RIA currentsince Jan 31, 2018 · Fort Washington, Pa
- V••• F•••••••• A•••••••• I••• BD affiliatedOct 28, 2016 to Dec 31, 2017 · Phoenix, Az
- V•••• F•••••••• A•••••••• I••• BD affiliatedSep 2, 2009 to Oct 13, 2016 · Addison, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDJul 21, 2000 to May 11, 2005 · Little Rock, Ar
- V••• F•••••••• A•••••••• I••• to L•••••• I•••••••••left Dec 31, 2017, registered Jan 31, 2018 (31 days) · Other
- V•••• F•••••••• A•••••••• I••• to V••• F•••••••• A•••••••• I•••left Oct 13, 2016, registered Oct 28, 2016 (15 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to V•••• F•••••••• A•••••••• I•••left May 11, 2005, registered Sep 2, 2009 (1575 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address