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• D•••
- D••••••••• F••• A••••••• L• asset manager currentsince Jul 18, 2018 · Austin, Tx
- L•• F•••••••• L•• BD affiliatedSep 19, 2011 to Jun 25, 2018 · San Diego, Ca
- S••••••••• A•••••• A•••••••• I••• formerDec 16, 2008 to Sep 2, 2011 · La Vista, Ne
- E••••• J•••• national BDApr 17, 2008 to Oct 15, 2008 · St Louis, Mo
- L•• F•••••••• L•• to D••••••••• F••• A••••••• L•left Jun 25, 2018, registered Jul 18, 2018 (23 days) · Other
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Sep 2, 2011, registered Sep 19, 2011 (17 days) · Other
- E••••• J•••• to S••••••••• A•••••• A•••••••• I•••left Oct 15, 2008, registered Dec 16, 2008 (62 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address