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.
L••• L••• G••
- C•••••• C••••• G••••• I••• no RAUM currentsince Jun 11, 2013 · Los Angeles, Ca
- W•••• F•••• A••••••• wirehouseOct 31, 2007 to Jun 25, 2008 · Addison, Tx
- B••• C•••••• I••••••••• S••••••••• I•• unclassifiedMay 7, 2004 to Oct 29, 2007 · Houston, Tx
- M••••• S•••••• D• I••• unclassifiedDec 6, 2000 to Nov 20, 2002 · Houston, Tx
- W•••• F•••• A••••••• to C•••••• C••••• G••••• I•••left Jun 25, 2008, registered Jun 11, 2013 (1812 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- B••• C•••••• I••••••••• S••••••••• I•• to W•••• F•••• A•••••••left Oct 29, 2007, registered Oct 31, 2007 (2 days) · Other
- M••••• S•••••• D• I••• to B••• C•••••• I••••••••• S••••••••• I••left Nov 20, 2002, registered May 7, 2004 (534 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
- No RAUM reportedderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address