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.
B••• M•••••• B••••••
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2022 · Tyler, Tx
- C••• B•••••••• S•••••••• I••• formerDec 14, 2018 to May 18, 2022 · Waverly, Ia
- P•• M•••••• A•••••• S••••••••• I••• formerDec 21, 2016 to Dec 12, 2018 · Tyler, Tx
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- P•• M•••••• A•••••• S••••••••• I••• to C••• B•••••••• S•••••••• I•••left Dec 12, 2018, registered Dec 14, 2018 (2 days) · Affiliated broker-dealer or bank to independent RIA
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address