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.
M•••••• B••••• C•••••
- B••••• W•••••• L•• independent RIA currentsince Nov 13, 2020 · Mclean, Va
- U••••• C•••••• F•••••••• A••••••• independent RIAJan 29, 2019 to Dec 9, 2020 · The Woodlands, Tx
- S•••••••• A••••••• L•• national BDMay 18, 2015 to Jul 12, 2018 · Broomfield, Co
- S•••••••• A••••••• L•• national BDAug 5, 2010 to Jul 21, 2014 · Westlake, Tx
- U••••• C•••••• F•••••••• A••••••• to B••••• W•••••• L••left Dec 9, 2020, registered Nov 13, 2020 (-26 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• A••••••• L•• to U••••• C•••••• F•••••••• A•••••••left Jul 12, 2018, registered Jan 29, 2019 (201 days) · Affiliated broker-dealer or bank to independent RIA
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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address