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.
R•••••• M•••••• M•••••
- A•• F•••••••• P•••••••• L•• independent RIA currentsince Dec 16, 2020 · Austin, Tx
- U••• C•••••• W••••• A•••••••• L•• BD affiliatedJun 2, 2017 to May 3, 2021 · Houston, Tx
- C••••••••• F•••••••• N•••••• national BDMay 18, 2015 to Jun 2, 2017 · Austin, Tx
- F•••••••• L•• formerMar 28, 2014 to May 27, 2015 · Austin, Tx
- C••••• C••••••• L•• formerJun 4, 2012 to Mar 22, 2013 · Denver, Co
- U••• C•••••• W••••• A•••••••• L•• to A•• F•••••••• P•••••••• L••left May 3, 2021, registered Dec 16, 2020 (-138 days) · RIA to RIA
- C••••••••• F•••••••• N•••••• to U••• C•••••• W••••• A•••••••• L••left Jun 2, 2017, registered Jun 2, 2017 (0 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- F•••••••• L•• to C••••••••• F•••••••• N••••••left May 27, 2015, registered May 18, 2015 (-9 days) · Other
- C••••• C••••••• L•• to F•••••••• L••left Mar 22, 2013, registered Mar 28, 2014 (371 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address