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•• BD affiliated currentsince Sep 28, 2012 · Ann Arbor, Mi
- M••••••• I••••••••• N•••••• I••• BD affiliatedOct 27, 2009 to Oct 2, 2012 · Dallas, Tx
- H•••••• S••••••••• I••• BD affiliatedDec 23, 2008 to Oct 19, 2009 · Austin, Tx
- C•••••• S••••• • C••• I••• national BDJul 30, 2008 to Oct 31, 2008 · Austin, Tx
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Jul 23, 2008 · Austin, Tx
- A• G• E•••••• • S•••• I••• unclassifiedApr 27, 2005 to Jan 1, 2008 · Austin, Tx
- M••••••• I••••••••• N•••••• I••• to S••left Oct 2, 2012, registered Sep 28, 2012 (-4 days) · Other
- H•••••• S••••••••• I••• to M••••••• I••••••••• N•••••• I•••left Oct 19, 2009, registered Oct 27, 2009 (8 days) · Other
- C•••••• S••••• • C••• I••• to H•••••• S••••••••• I•••left Oct 31, 2008, registered Dec 23, 2008 (53 days) · Other
- W•••• F•••• A••••••• to C•••••• S••••• • C••• I•••left Jul 23, 2008, registered Jul 30, 2008 (7 days) · Wirehouse to affiliated broker-dealer or bank
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
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