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.
- F••••• I••••••••• independent RIA currentsince Sep 15, 2022 · Plano, Tx
- C••••••• S••••••••• I••• BD affiliatedJul 15, 2020 to Sep 12, 2022 · Macedonia, Oh
- W•••• F•••• A••••••• wirehouseAug 28, 2013 to Oct 28, 2014 · Friendswood, Tx
- C••••••• S••••••••• I••• to F••••• I•••••••••left Sep 12, 2022, registered Sep 15, 2022 (3 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to C••••••• S••••••••• I•••left Oct 28, 2014, registered Jul 15, 2020 (2087 days) · Wirehouse to affiliated broker-dealer or bank
- E••• D• W•••••• left C••••••• S••••••••• I••• for F••••• I••••••••• (registered 2022-09-15)Sep 12, 2022 · 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address