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.
S••••• D•• P•••••
- M•••• C••••••• A••••••• S•••••• BD affiliated currentsince Jun 28, 2012 · Palm Beach Gardens, Fl
- G•••• N••••• I••••••••• C••••••••• unclassifiedSep 2, 2010 to Feb 10, 2011 · Amarillo, Tx
- U••••• E••••• S••••••••• L•• unclassifiedApr 2, 2007 to Aug 6, 2010 · Mcallen, Tx
- U••••• S••••••••• A•••••••• I••• unclassifiedJan 26, 2004 to Jul 5, 2005 · Weslaco, Tx
- G•••• N••••• I••••••••• C••••••••• to M•••• C••••••• A••••••• S••••••left Feb 10, 2011, registered Jun 28, 2012 (504 days) · Other
- U••••• E••••• S••••••••• L•• to G•••• N••••• I••••••••• C•••••••••left Aug 6, 2010, registered Sep 2, 2010 (27 days) · Other
- U••••• S••••••••• A•••••••• I••• to U••••• E••••• S••••••••• L••left Jul 5, 2005, registered Apr 2, 2007 (636 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address