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.
W•••••• A•••• B•••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jun 9, 2020 · Fairfield, Ia
- M••••••• I••••••••• N•••••• I••• BD affiliatedJan 9, 2017 to Jun 10, 2020 · Monroe, La
- H•••••• S••••••••• I••• BD affiliatedJan 9, 2017 to Jun 10, 2020 · Dallas, Tx
- M•• F•••••••• S•••••••• I••• formerApr 11, 2012 to Dec 13, 2016 · Charlotte, Nc
- S••• I••••••••• C•••••• i••••••••• wealthAug 15, 2007 to Nov 22, 2011 · San Antonio, Tx
- N•• A•••••• S•••••••• L•• formerJun 15, 2006 to Aug 2, 2007 · Austin, Tx
- I••••••••• P••••••••• I••• formerMay 9, 2005 to May 11, 2006 · San Antonio, Tx
- M••••••• I••••••••• N•••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jun 10, 2020, registered Jun 9, 2020 (-1 days) · Affiliated broker-dealer or bank to another
- H•••••• S••••••••• I••• to M••••••• I••••••••• N•••••• I•••left Jun 10, 2020, registered Jan 9, 2017 (-1248 days) · Other
- M•• F•••••••• S•••••••• I••• to H•••••• S••••••••• I•••left Dec 13, 2016, registered Jan 9, 2017 (27 days) · Other
- S••• I••••••••• C•••••• to M•• F•••••••• S•••••••• I•••left Nov 22, 2011, registered Apr 11, 2012 (141 days) · Other
- N•• A•••••• S•••••••• L•• to S••• I••••••••• C••••••left Aug 2, 2007, registered Aug 15, 2007 (13 days) · Other
- I••••••••• P••••••••• I••• to N•• A•••••• S•••••••• L••left May 11, 2006, registered Jun 15, 2006 (35 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address