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.
A•••• H•••• S•••••••
- A••••••• F•••••••• A•••••••• L•• BD affiliated currentsince Nov 16, 2021 · Murphy, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 19, 2014 to Apr 27, 2021 · Richardson, Tx
- C•••••• S••••• • C••• I••• national BDJul 11, 2013 to Aug 4, 2014 · Cupertino, Ca
- M•• F•••••••• S•••••••• I••• formerMay 16, 2008 to Jul 8, 2013 · Walnut Creek, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••• F•••••••• A•••••••• L••left Apr 27, 2021, registered Nov 16, 2021 (203 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••• S••••• • C••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 4, 2014, registered Aug 19, 2014 (15 days) · Affiliated broker-dealer or bank to wirehouse
- M•• F•••••••• S•••••••• I••• to C•••••• S••••• • C••• I•••left Jul 8, 2013, registered Jul 11, 2013 (3 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