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•••• W•••• W••••••
- T•••••• S••••• F••••••••• L•• st••• registered currentsince Mar 29, 2018 · Round Rock, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDDec 27, 2016 to Feb 20, 2018 · Austin, Tx
- C•••••• S••••• • C••• I••• national BDJan 26, 2016 to Jul 1, 2016 · Austin, Tx
- P•• S••••••• C•••••• M••••••••• L•• independent RIAMar 26, 2015 to Aug 18, 2015 · Austin, Tx
- •••• A•••• M••••••••• A•• ••• W••••• M••••••••• independent RIASep 8, 2014 to Sep 16, 2015 · Austin, Tx
- A••••••••• F•••••••• S•••••••• L•• to T•••••• S••••• F••••••••• L••left Feb 20, 2018, registered Mar 29, 2018 (37 days) · IBD TO ST••• RIA
- C•••••• S••••• • C••• I••• to A••••••••• F•••••••• S•••••••• L••left Jul 1, 2016, registered Dec 27, 2016 (179 days) · Affiliated broker-dealer or bank to another
- •••• A•••• M••••••••• A•• ••• W••••• M••••••••• to P•• S••••••• C•••••• M••••••••• L••left Sep 16, 2015, registered Mar 26, 2015 (-174 days) · Other
- P•• S••••••• C•••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Aug 18, 2015, registered Jan 26, 2016 (161 days) · Other
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
- STATE REGISTEREDderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address