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••••• C•••••••• N•••
- N••••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Mar 3, 2023 · Columbus, Oh
- P••• A••••• S••••••••• L•• BD affiliatedJun 23, 2022 to Jan 31, 2023 · Austin, Tx
- N••••••••• I••••••••• A•••••••• L•• BD affiliatedJun 25, 2014 to Jun 15, 2022 · Columbus, Oh
- L•• F•••••••• L•• BD affiliatedFeb 14, 2014 to Apr 29, 2014 · Austin, Tx
- S••• I••••••••• C•••••• independent RIAAug 17, 2012 to Feb 18, 2014 · San Antonio, Tx
- E••••• J•••• national BDFeb 9, 2007 to Aug 16, 2012 · Corpus Christi, Tx
- P••• A••••• S••••••••• L•• to N••••••••• I••••••••• A•••••••• L••left Jan 31, 2023, registered Mar 3, 2023 (31 days) · Affiliated broker-dealer or bank to another
- N••••••••• I••••••••• A•••••••• L•• to P••• A••••• S••••••••• L••left Jun 15, 2022, registered Jun 23, 2022 (8 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to N••••••••• I••••••••• A•••••••• L••left Apr 29, 2014, registered Jun 25, 2014 (57 days) · Other
- S••• I••••••••• C•••••• to L•• F•••••••• L••left Feb 18, 2014, registered Feb 14, 2014 (-4 days) · Other
- E••••• J•••• to S••• I••••••••• C••••••left Aug 16, 2012, registered Aug 17, 2012 (1 days) · Other
- S••••• C•••••••• N••• left P••• A••••• S••••••••• L•• for N••••••••• I••••••••• A•••••••• L•• (registered 2023-03-03)Jan 31, 2023 · Advisor changed firm · fact
- S••••• C•••••••• N••• left N••••••••• I••••••••• A•••••••• L•• for P••• A••••• S••••••••• L•• (registered 2022-06-23)Jun 15, 2022 · Advisor changed firm · 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
- 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