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.
E•••• H•••••••• V•••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Oct 13, 2022 · Frisco, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerFeb 25, 2014 to Jun 23, 2014 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 18, 2008 to Sep 23, 2013 · Dallas, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Jul 31, 2008 · New York, Ny
- C••••••• I••••••••• S••••••• unclassifiedFeb 8, 2007 to May 29, 2007 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerAug 21, 2006 to Jan 25, 2007 · New York, Ny
- P•• M•••••• A•••••• S••••••••• I••• to A••••• A•• P••••••• S•••••••left Jun 23, 2014, registered Oct 13, 2022 (3034 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• M•••••• A•••••• S••••••••• I•••left Sep 23, 2013, registered Feb 25, 2014 (155 days) · Other
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 31, 2008, registered Jul 18, 2008 (-13 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to C••••••• I••••••••• S•••••••left Jan 25, 2007, registered Feb 8, 2007 (14 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