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.
N•••• M• A••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 12, 2016 · Cedar Park, Tx
- C•••••• O•• A•••••••• L•• formerMay 11, 2015 to Dec 13, 2016 · Fort Worth, Tx
- L•• F•••••••• L•• BD affiliatedSep 11, 2012 to May 15, 2015 · Austin, Tx
- V•••• F•••••••• A•••••••• I••• BD affiliatedDec 2, 2008 to Sep 13, 2012 · Austin, Tx
- L•• F•••••••• L•• BD affiliatedJan 12, 2007 to Dec 3, 2008 · Cedar Park, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 18, 2005 to Jan 25, 2007 · Austin, Tx
- P•••• S••••••••• L•• no RAUMNov 7, 2003 to Feb 24, 2005 · Austin, Tx
- C•••••• O•• A•••••••• L•• to L•• F•••••••• L••left Dec 13, 2016, registered Dec 12, 2016 (-1 days) · Other
- L•• F•••••••• L•• to C•••••• O•• A•••••••• L••left May 15, 2015, registered May 11, 2015 (-4 days) · Other
- V•••• F•••••••• A•••••••• I••• to L•• F•••••••• L••left Sep 13, 2012, registered Sep 11, 2012 (-2 days) · Other
- L•• F•••••••• L•• to V•••• F•••••••• A•••••••• I•••left Dec 3, 2008, registered Dec 2, 2008 (-1 days) · Other
- C•••••••• G••••• M•••••• I••• to L•• F•••••••• L••left Jan 25, 2007, registered Jan 12, 2007 (-13 days) · Other
- P•••• S••••••••• L•• to C•••••••• G••••• M•••••• I•••left Feb 24, 2005, registered Feb 18, 2005 (-6 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address