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.
C••••••••• R• M•••••
- C•••••• S••••• • C••• I••• national BD currentsince Jul 22, 2019 · Phoenix, Az
- U••• I••••••••• S••••••• C•••••• no RAUMSep 12, 2018 to Jul 8, 2019 · Addison, Tx
- F••••• I••••••••• independent RIAMar 20, 2018 to Jun 29, 2018 · Plano, Tx
- S•••••••• I••••••••• M••••••••• formerJan 26, 2017 to Mar 8, 2018 · Saint Louis, Mo
- U••• I••••••••• S••••••• C•••••• to C•••••• S••••• • C••• I•••left Jul 8, 2019, registered Jul 22, 2019 (14 days) · Affiliated broker-dealer or bank to another
- F••••• I••••••••• to U••• I••••••••• S••••••• C••••••left Jun 29, 2018, registered Sep 12, 2018 (75 days) · RIA to affiliated broker-dealer or bank
- S•••••••• I••••••••• M••••••••• to F••••• I•••••••••left Mar 8, 2018, registered Mar 20, 2018 (12 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
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
- National broker-dealer RIAderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address