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.
D•••••• M•••••• Z••••
- I••••••••• P•••••• W•••••• L•• independent RIA currentsince Jan 23, 2019 · Austin, Tx
- E•••••••• A•••••••• L•• national BDJul 13, 2017 to Feb 3, 2019 · Columbus, Oh
- V••• F•••••••• A•••••••• I••• BD affiliatedMar 25, 2008 to Jul 13, 2017 · Houston, Tx
- E•••••••• A•••••••• L•• to I••••••••• P•••••• W•••••• L••left Feb 3, 2019, registered Jan 23, 2019 (-11 days) · Other
- V••• F•••••••• A•••••••• I••• to E•••••••• A•••••••• L••left Jul 13, 2017, registered Jul 13, 2017 (0 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address