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.
S••••• I• O••••••
- S••••••••• P•••••• C•••••• M••••••••• L•• other currentsince Apr 5, 2021 · Columbia, Sc
- U•• F•••••••• S••••••• I••• wirehouseNov 18, 2015 to Apr 5, 2021 · Plano, Tx
- U••• F•••••••• P••••••• S••••••• formerAug 15, 2012 to Nov 11, 2015 · Addison, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMMay 12, 2011 to Aug 15, 2012 · San Antonio, Tx
- W•••••• • R••• formerOct 26, 2010 to Feb 18, 2011 · Dallas, Tx
- U•• F•••••••• S••••••• I••• to S••••••••• P•••••• C•••••• M••••••••• L••left Apr 5, 2021, registered Apr 5, 2021 (0 days) · Wirehouse to independent RIA
- U••• F•••••••• P••••••• S••••••• to U•• F•••••••• S••••••• I•••left Nov 11, 2015, registered Nov 18, 2015 (7 days) · Other
- U••• I••••••••• S••••••• C•••••• to U••• F•••••••• P••••••• S•••••••left Aug 15, 2012, registered Aug 15, 2012 (0 days) · channel change inside one enterprise, not a move
- W•••••• • R••• to U••• I••••••••• S••••••• C••••••left Feb 18, 2011, registered May 12, 2011 (83 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
- Other adviserderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address