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••• E•••• T•••••••
- C•••••• A••••••• BD affiliated currentsince Jan 16, 2013 · Bryan, Tx
- L•••••• I••••••••• independent RIA currentsince Jun 1, 2012 · Bryan, Tx
- C••••••••• A•••••••• I•• formerJul 27, 2009 to Jun 1, 2012 · College Station, Tx
- L•• F•••••••• L•• BD affiliatedJun 24, 2005 to Jul 16, 2009 · Ada, Ok
- Q•••••• A•••• M••••••••• I••• formerJan 12, 2005 to Jun 17, 2005 · Ada, Ok
- Q•••••• C•••••• C••••••••• unclassifiedDec 6, 2004 to Jun 17, 2005 · Ada, Ok
- C••••••••• A•••••••• I•• to L•••••• I•••••••••left Jun 1, 2012, registered Jun 1, 2012 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to C••••••••• A•••••••• I••left Jul 16, 2009, registered Jul 27, 2009 (11 days) · Other
- Q•••••• A•••• M••••••••• I••• to L•• F•••••••• L••left Jun 17, 2005, registered Jun 24, 2005 (7 days) · Other
- Q•••••• C•••••• C••••••••• to Q•••••• A•••• M••••••••• I•••left Jun 17, 2005, registered Jan 12, 2005 (-156 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