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.
C•••••• D••••••• M••••••••
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Oct 13, 2021 · Greenwood Village, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 2, 2019 to Oct 5, 2021 · Corpus Christi, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedOct 18, 2017 to Jul 5, 2019 · Corpus Christi, Tx
- W•••• F•••• A••••••• wirehouseApr 6, 2016 to Oct 12, 2017 · Rockport, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerNov 4, 2011 to Feb 18, 2016 · Corpus Christi, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 29, 2004 to Oct 10, 2011 · Corpus Christi, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• A••••••• G••••• L••left Oct 5, 2021, registered Oct 13, 2021 (8 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 5, 2019, registered Aug 2, 2019 (28 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 12, 2017, registered Oct 18, 2017 (6 days) · Other
- P•• M•••••• A•••••• S••••••••• I••• to W•••• F•••• A•••••••left Feb 18, 2016, registered Apr 6, 2016 (48 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• M•••••• A•••••• S••••••••• I•••left Oct 10, 2011, registered Nov 4, 2011 (25 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address