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••• M•••••• W••••••
- C••• S••••• P••••••• BD affiliated currentsince Dec 6, 2013 · Austin, Tx
- R••••••••• W••••• M••••••••• formerJul 24, 2009 to Dec 9, 2013 · Austin, Tx
- O••••••••• • C•• I••• BD affiliatedMar 20, 2009 to Jul 7, 2009 · Austin, Tx
- S••••••• G•••• C•••••• unclassifiedMay 29, 2007 to Mar 19, 2009 · Austin, Tx
- R••••••••• W••••• M••••••••• to C••• S••••• P•••••••left Dec 9, 2013, registered Dec 6, 2013 (-3 days) · Other
- O••••••••• • C•• I••• to R••••••••• W••••• M•••••••••left Jul 7, 2009, registered Jul 24, 2009 (17 days) · Other
- S••••••• G•••• C•••••• to O••••••••• • C•• I•••left Mar 19, 2009, registered Mar 20, 2009 (1 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address