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••••••••• C••••••• W•••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 13, 2022 · Austin, Tx
- S••••••• F•••••••• S•••••••• I••• formerJan 10, 2014 to Dec 14, 2022 · Austin, Tx
- C•• S••••••••• L•• formerJan 10, 2014 to Oct 22, 2021 · Austin, Tx
- S••••••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Dec 14, 2022, registered Dec 13, 2022 (-1 days) · RIA to RIA
- C•• S••••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Oct 22, 2021, registered Jan 10, 2014 (-2842 days) · corporate re-registration, not a move
- C••••••••• C••••••• W••••• left S••••••• F•••••••• S•••••••• I••• for L•• F•••••••• L•• (registered 2022-12-13)Dec 14, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address