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.
E•••• W•••• R•••••
- S•••• F••• I••••••••• M••••••••• C•••• asset manager currentsince Sep 12, 2018 · Mt Pleasant, Tx
- I••••••••• P••••••••• I••• formerMar 8, 2006 to Apr 28, 2015 · Shiner, Tx
- T•• S••••••••• L••• unclassifiedFeb 23, 2005 to Jun 15, 2005 · Mt Pleasant, Tx
- I••••••••• P••••••••• I••• formerAug 15, 2003 to Feb 16, 2005 · Winnsboro, Tx
- V••• F•••••••• A•••••••• I••• BD affiliatedJun 3, 2002 to Aug 12, 2003 · Mt Pleasant, Tx
- I••••••••• P••••••••• I••• to S•••• F••• I••••••••• M••••••••• C••••left Apr 28, 2015, registered Sep 12, 2018 (1233 days) · Other
- T•• S••••••••• L••• to I••••••••• P••••••••• I•••left Jun 15, 2005, registered Mar 8, 2006 (266 days) · Other
- I••••••••• P••••••••• I••• to T•• S••••••••• L•••left Feb 16, 2005, registered Feb 23, 2005 (7 days) · Other
- V••• F•••••••• A•••••••• I••• to I••••••••• P••••••••• I•••left Aug 12, 2003, registered Aug 15, 2003 (3 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address