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.
M••••• M•••••• D•••
- P••••••• F•••••••• S•••••••• I••• BD affiliated currentsince Feb 15, 2017 · Mt Pleasant, Tx
- V•• A••••••• S••••••• formerSep 2, 2016 to Nov 2, 2016 · Mount Pleasant, Tx
- S••••• F•••••••• G•••• I•• formerSep 1, 2016 to Feb 23, 2017 · Pittsburg, Tx
- V•• A••••••• S••••••• formerJul 11, 2006 to Sep 1, 2016 · Pittsburg, Tx
- S••••• F•••••••• G•••• I•• to V•• A••••••• S•••••••left Feb 23, 2017, registered Sep 2, 2016 (-174 days) · channel change inside one enterprise, not a move · moved with a team
- V•• A••••••• S••••••• to P••••••• F•••••••• S•••••••• I•••left Nov 2, 2016, registered Feb 15, 2017 (105 days) · Other
- V•• A••••••• S••••••• to S••••• F•••••••• G•••• I••left Sep 1, 2016, registered Sep 1, 2016 (0 days) · corporate re-registration, not a move
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