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.
K••••••• M•••• C•••••••
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliated currentsince Sep 30, 2020 · Raleigh, Nc
- U••• I••••••••• S••••••• C•••••• no RAUMOct 4, 2011 to Sep 25, 2020 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerNov 14, 2008 to Oct 7, 2011 · San Antonio, Tx
- U••• I••••••••• S••••••• C•••••• to F•••• C••••••• I••••••• S•••••••• I•••left Sep 25, 2020, registered Sep 30, 2020 (5 days) · Other
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Oct 7, 2011, registered Oct 4, 2011 (-3 days) · channel change inside one enterprise, 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address