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.
A•••••••• O••••• V••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 25, 2021 · San Diego, Ca
- H••••••••• G•••• E••••• • R••••••••• S••••••••• formerAug 9, 2019 to Nov 2, 2021 · Scottsdale, Az
- 1•• G••••• A••••••• I•• formerMar 6, 2009 to Jun 9, 2017 · Dallas, Tx
- A••••••••• A•••••• S•••••••• I••• unclassifiedJul 29, 2003 to Jun 2, 2005 · Dallas, Tx
- H••••••••• G•••• E••••• • R••••••••• S••••••••• to L•• F•••••••• L••left Nov 2, 2021, registered Oct 25, 2021 (-8 days) · RIA to affiliated broker-dealer or bank
- 1•• G••••• A••••••• I•• to H••••••••• G•••• E••••• • R••••••••• S•••••••••left Jun 9, 2017, registered Aug 9, 2019 (791 days) · Other
- A••••••••• A•••••• S•••••••• I••• to 1•• G••••• A••••••• I••left Jun 2, 2005, registered Mar 6, 2009 (1373 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address