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••••••• G• Y••••
- C••••••• P••••••• independent RIA currentsince Apr 28, 2023 · Nashville, Tn
- A••••••• F••••••••• L••• BD affiliatedJan 7, 2020 to Apr 21, 2023 · Sacramento, Ca
- R•• formerMar 1, 2017 to Jan 7, 2020 · Addison, Tx
- M••••• W••••• A••••••• independent RIAOct 9, 2014 to Aug 26, 2016 · Austin, Tx
- A••••••• F••••••••• L••• to C••••••• P•••••••left Apr 21, 2023, registered Apr 28, 2023 (7 days) · Affiliated broker-dealer or bank to independent RIA
- R•• to A••••••• F••••••••• L•••left Jan 7, 2020, registered Jan 7, 2020 (0 days) · corporate re-registration, not a move
- M••••• W••••• A••••••• to R••left Aug 26, 2016, registered Mar 1, 2017 (187 days) · Other
- M••••••• G• Y•••• left A••••••• F••••••••• L••• for C••••••• P••••••• (registered 2023-04-28)Apr 21, 2023 · Advisor changed firm · fact
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
- Independent wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address