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.
G••• M•••• H•••••
- I••••••••• P•••••• W•••••• L•• independent RIA currentsince Aug 30, 2017 · Austin, Tx
- W•••• F•••• A••••••• wirehouseMay 1, 2007 to Jun 22, 2017 · Austin, Tx
- Z•••• C•••••• A•••••••• I••• institutionalJan 5, 2007 to Apr 30, 2007 · Salt Lake City, Ut
- Z•••• D•••••• I••• unclassifiedAug 24, 2006 to Dec 31, 2006 · Bellville, Tx
- L•• F•••••••• L•• BD affiliatedOct 13, 2004 to Aug 2, 2006 · Bellville, Tx
- W•••••• • R••• formerMay 20, 2003 to Oct 15, 2004 · Houston, Tx
- W•••• F•••• A••••••• to I••••••••• P•••••• W•••••• L••left Jun 22, 2017, registered Aug 30, 2017 (69 days) · Other · moved with a team
- Z•••• C•••••• A•••••••• I••• to W•••• F•••• A•••••••left Apr 30, 2007, registered May 1, 2007 (1 days) · Other
- Z•••• D•••••• I••• to Z•••• C•••••• A•••••••• I•••left Dec 31, 2006, registered Jan 5, 2007 (5 days) · Other
- L•• F•••••••• L•• to Z•••• D•••••• I•••left Aug 2, 2006, registered Aug 24, 2006 (22 days) · Other
- W•••••• • R••• to L•• F•••••••• L••left Oct 15, 2004, registered Oct 13, 2004 (-2 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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address