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.
T•••••• A••••• K•••••
- U••• I••••••••• S••••••• C•••••• no RAUM currentsince Jan 8, 2018 · Phoenix, Az
- U••• F•••••••• P••••••• S••••••• formerAug 17, 2015 to Jan 8, 2018 · San Antonio, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMAug 29, 2013 to Aug 19, 2015 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerOct 9, 2009 to Sep 19, 2013 · San Antonio, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMay 27, 2009 to Jul 1, 2009 · Merrill, Wi
- C••••• I••••••••• S••••••• L•• formerOct 17, 2007 to Sep 29, 2008 · Merrill, Wi
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- U••• I••••••••• S••••••• C•••••• to U••• F•••••••• P••••••• S•••••••left Aug 19, 2015, registered Aug 17, 2015 (-2 days) · channel change inside one enterprise, not a move
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Sep 19, 2013, registered Aug 29, 2013 (-21 days) · channel change inside one enterprise, not a move
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to U••• F•••••••• P••••••• S•••••••left Jul 1, 2009, registered Oct 9, 2009 (100 days) · Other
- C••••• I••••••••• S••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 29, 2008, registered May 27, 2009 (240 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
- No RAUM reportedderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address