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.
S••• M•••••• I••••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2024 · Albuquerque, Nm
- N••• F•••••••• G••••• I••• formerJan 10, 2008 to Dec 9, 2020 · Houston, Tx
- C•• S••••••••• L•• formerAug 23, 2007 to Jan 10, 2008 · Albuquerque, Nm
- M••••••• A•••••••• I•• unclassifiedSep 20, 2006 to Jan 18, 2008 · Albuquerque, Nm
- N••• F•••••••• G••••• I••• to C••••• I••••••••• A••••••• L••left Dec 9, 2020, registered Mar 21, 2024 (1198 days) · Affiliated broker-dealer or bank to another · moved with a team
- M••••••• A•••••••• I•• to C•• S••••••••• L••left Jan 18, 2008, registered Aug 23, 2007 (-148 days) · Other
- C•• S••••••••• L•• to N••• F•••••••• G••••• I•••left Jan 10, 2008, registered Jan 10, 2008 (0 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address