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•••••• C•••••••• D••••••
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2023 · Pflugerville, Tx
- S•• BD affiliatedSep 7, 2012 to May 18, 2023 · Ann Arbor, Mi
- C•••• I••••••••• S••••••• C•••• formerAug 19, 2011 to Sep 10, 2012 · Austin, Tx
- E••••• J•••• national BDJan 12, 2009 to Aug 3, 2011 · Austin, Tx
- S•• to L•• F•••••••• L••left May 18, 2023, registered May 18, 2023 (0 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to S••left Sep 10, 2012, registered Sep 7, 2012 (-3 days) · Other
- E••••• J•••• to C•••• I••••••••• S••••••• C••••left Aug 3, 2011, registered Aug 19, 2011 (16 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address