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.
A•••••• A•• H••••
- M••••• S•••••• wirehouse currentsince Aug 12, 2019 · Beverly Hills, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 31, 2016 to Jul 15, 2019 · Dallas, Tx
- U••• F•••••••• P••••••• S••••••• formerJan 20, 2016 to Mar 8, 2016 · San Antonio, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jul 15, 2019, registered Aug 12, 2019 (28 days) · Wirehouse to wirehouse · moved with a team
- U••• F•••••••• P••••••• S••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 8, 2016, registered Mar 31, 2016 (23 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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address