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••••• L•• S••••••
- H•••••••• W•••••• L•• state registered currentsince Jun 28, 2018 · Santa Fe, Nm
- L••••••• A•••• M••••••••• L•• formerFeb 16, 2016 to Aug 16, 2018 · Santa Fe, Nm
- L•• F•••••••• L•• BD affiliatedAug 15, 2013 to Dec 28, 2015 · Santa Fe, Nm
- M••••• S•••••• wirehouseJul 27, 2011 to Aug 28, 2013 · Albuquerque, Nm
- S••••••• I••••••••• I••• formerFeb 8, 2010 to Apr 6, 2011 · Albuquerque, Nm
- L••••••• A•••• M••••••••• L•• to H•••••••• W•••••• L••left Aug 16, 2018, registered Jun 28, 2018 (-49 days) · RIA to a state-registered adviser
- L•• F•••••••• L•• to L••••••• A•••• M••••••••• L••left Dec 28, 2015, registered Feb 16, 2016 (50 days) · Other
- M••••• S•••••• to L•• F•••••••• L••left Aug 28, 2013, registered Aug 15, 2013 (-13 days) · Other
- S••••••• I••••••••• I••• to M••••• S••••••left Apr 6, 2011, registered Jul 27, 2011 (112 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address