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.
M•••••• B• I••••
- C••••••••• F•••••••• N•••••• national BD currentsince Jun 13, 2022 · Austin, Tx
- U••• C•••••• W••••• A•••••••• L•• BD affiliatedJun 2, 2017 to Jul 6, 2022 · Houston, Tx
- C••••••••• F•••••••• N•••••• national BDJun 28, 2016 to Jun 2, 2017 · Austin, Tx
- U••• C•••••• W••••• A•••••••• L•• to C••••••••• F•••••••• N••••••left Jul 6, 2022, registered Jun 13, 2022 (-23 days) · Affiliated broker-dealer or bank to another
- C••••••••• F•••••••• N•••••• to U••• C•••••• W••••• A•••••••• L••left Jun 2, 2017, registered Jun 2, 2017 (0 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- M•••••• B• I•••• left U••• C•••••• W••••• A•••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2022-06-13)Jul 6, 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address