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.
M••• A••••• M••••••••
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Jul 28, 2021 · Corpus Christi, Tx
- C••••• A•••••• N••••••• L•• formerNov 1, 2017 to Jul 28, 2021 · Corpus Christi, Tx
- G••••• S••••••••• I••• formerJan 12, 2009 to Nov 1, 2017 · San Diego, Ca
- N••• F•••••••• G••••• I••• formerFeb 12, 2008 to Jan 22, 2009 · Houston, Tx
- C••••• A•••••• N••••••• L•• to I••••••••• F•••••••• G••••• L••left Jul 28, 2021, registered Jul 28, 2021 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- G••••• S••••••••• I••• to C••••• A•••••• N••••••• L••left Nov 1, 2017, registered Nov 1, 2017 (0 days) · corporate re-registration, not a move
- N••• F•••••••• G••••• I••• to G••••• S••••••••• I•••left Jan 22, 2009, registered Jan 12, 2009 (-10 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