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.
B•••• D••• T•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 12, 2020 · San Diego, Ca
- L•••• F••• A••••••• S••••••• BD affiliatedSep 21, 2018 to Jun 12, 2020 · Houston, Tx
- 1•• G••••• A••••••• I•• formerDec 2, 2015 to Sep 25, 2018 · Houston, Tx
- N••• F•••••••• G••••• I••• formerJul 1, 2010 to Dec 4, 2015 · Houston, Tx
- A•••••• A••••••• S••••••• formerJun 6, 2005 to Jul 6, 2010 · Fort Collins, Co
- A•••••• A••••••• S••••••• formerOct 10, 2002 to Dec 31, 2003 · Fort Collins, Co
- W•••••• • R••• formerMay 22, 2002 to Jun 26, 2002 · Ft Collins, Oh
- L•••• F••• A••••••• S••••••• to L•• F•••••••• L••left Jun 12, 2020, registered Jun 12, 2020 (0 days) · Affiliated broker-dealer or bank to another
- 1•• G••••• A••••••• I•• to L•••• F••• A••••••• S•••••••left Sep 25, 2018, registered Sep 21, 2018 (-4 days) · Affiliated broker-dealer or bank to another
- N••• F•••••••• G••••• I••• to 1•• G••••• A••••••• I••left Dec 4, 2015, registered Dec 2, 2015 (-2 days) · Other
- A•••••• A••••••• S••••••• to N••• F•••••••• G••••• I•••left Jul 6, 2010, registered Jul 1, 2010 (-5 days) · Other
- W•••••• • R••• to A•••••• A••••••• S•••••••left Jun 26, 2002, registered Oct 10, 2002 (106 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address