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•••••• R••• F••••••
- 4• F•••••••• independent RIA currentsince Feb 24, 2023 · Austin, Tx
- T••••••• A•••••• N••••••• L•• BD affiliatedMar 24, 2022 to Dec 31, 2022 · Minneapolis, Mn
- E•••••••• A•••••••• L•• national BDJul 2, 2004 to Mar 17, 2022 · San Antonio, Tx
- T••••••• A•••••• N••••••• L•• to 4• F••••••••left Dec 31, 2022, registered Feb 24, 2023 (55 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to T••••••• A•••••• N••••••• L••left Mar 17, 2022, registered Mar 24, 2022 (7 days) · Affiliated broker-dealer or bank to another
- M•••••• R••• F•••••• left E•••••••• A•••••••• L•• for T••••••• A•••••• N••••••• L•• (registered 2022-03-24)Mar 17, 2022 · a•••••• firm change · fact
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address