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.
P•••••• A••••• R•••••••
- T•• R••••••• F•••••••• G•••• W••••• M••••••••• L•• state registered currentsince Feb 15, 2018 · Marble Falls, Tx
- S••••• F•••••••• G•••• I•• formerApr 17, 2009 to Jul 11, 2018 · Marble Falls, Tx
- E••••• J•••• national BDAug 22, 2006 to Apr 14, 2009 · Kingsland, Tx
- S••••• F•••••••• G•••• I•• to T•• R••••••• F•••••••• G•••• W••••• M••••••••• L••left Jul 11, 2018, registered Feb 15, 2018 (-146 days) · Affiliated broker-dealer or bank to a state-registered adviser
- E••••• J•••• to S••••• F•••••••• G•••• I••left Apr 14, 2009, registered Apr 17, 2009 (3 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
- STATE REGISTEREDderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address