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.
L••• A••• J••••••
- R•••••• W••••• M••••••••• L•• state registered currentsince Jan 4, 2018 · Clyde, Nc
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMay 2, 2016 to Dec 21, 2017 · Clear Lake Shores, Tx
- Q•••••• A•••• M••••••••• I••• formerJan 16, 2015 to May 10, 2016 · League City, Tx
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJul 23, 2014 to Jan 29, 2015 · Frisco, Co
- C•••••••• I••••••••• R••••••• A•••••••• I••• to R•••••• W••••• M••••••••• L••left Dec 21, 2017, registered Jan 4, 2018 (14 days) · Other
- Q•••••• A•••• M••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left May 10, 2016, registered May 2, 2016 (-8 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to Q•••••• A•••• M••••••••• I•••left Jan 29, 2015, registered Jan 16, 2015 (-13 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
- STATE REGISTEREDderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address