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.
A••••• T••••• B••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Oct 23, 2023 · Charlotte, Nc
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 9, 2023 to Jun 29, 2023 · Charlotte, Nc
- C•••••• S••••• • C••• I••• national BDMar 9, 2023 to Mar 9, 2023 · Charlotte, Nc
- T• A••••••••• I••••••••• M••••••••• L•• formerSep 12, 2012 to Mar 9, 2023 · The Woodlands, Tx
- T• A••••••••• I••• formerSep 12, 2012 to Oct 14, 2022 · The Woodlands, Tx
- W•••••• • R••• formerMar 30, 2009 to Aug 30, 2012 · Austin, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDJun 14, 2005 to Apr 1, 2009 · Austin, Tx
- T• A••••••••• I••••••••• M••••••••• L•• to A••••• A•• P••••••• S•••••••left Jun 29, 2023, registered Oct 23, 2023 (116 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Mar 9, 2023, registered Mar 9, 2023 (0 days) · channel change inside one enterprise, not a move · moved with a team
- C•••••• S••••• • C••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Mar 9, 2023, registered Mar 9, 2023 (0 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Sep 12, 2012 (-3684 days) · corporate re-registration, not a move
- W•••••• • R••• to T• A••••••••• I•••left Aug 30, 2012, registered Sep 12, 2012 (13 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to W•••••• • R•••left Apr 1, 2009, registered Mar 30, 2009 (-2 days) · Other
- A••••• T••••• B•••• left T• A••••••••• I••••••••• M••••••••• L•• for A••••• A•• P••••••• S••••••• (registered 2023-10-23)Jun 29, 2023 · 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address