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.
C••••••••• Y•••• C•••••
- I•••••• A•••••••• I••• asset manager currentsince Jan 1, 2010 · Corona Del Mar, Ca
- I•••••• A•• P•••••• A•••• M••••••••• I••• unclassifiedMay 13, 2005 to Jan 1, 2010 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseNov 22, 2002 to Feb 8, 2005 · Houston, Tx
- E•••••••• A•••••••• L•• national BDMay 15, 2002 to Dec 11, 2002 · Austin, Tx
- I•••••• A•• P•••••• A•••• M••••••••• I••• to I•••••• A•••••••• I•••left Jan 1, 2010, registered Jan 1, 2010 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to I•••••• A•• P•••••• A•••• M••••••••• I•••left Feb 8, 2005, registered May 13, 2005 (94 days) · Other
- E•••••••• A•••••••• L•• to U•• F•••••••• S••••••• I•••left Dec 11, 2002, registered Nov 22, 2002 (-19 days) · Affiliated broker-dealer or bank to wirehouse
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