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•••••• A••• E••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Feb 25, 2022 · Albuquerque, Nm
- B••••••• I••••••••• S•••••••• I••• ••••• formerNov 5, 2014 to Mar 8, 2022 · Rio Rancho, Nm
- B••••••• I••••••••• S•••••••• I••• ••••• to A••••••••• F•••••••• S•••••••• L••left Mar 8, 2022, registered Feb 25, 2022 (-11 days) · Affiliated broker-dealer or bank to another
- S•••••• A••• E•••••••• left B••••••• I••••••••• S•••••••• I••• ••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-02-25)Mar 8, 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
- 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