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•••••• P••••
- B•••• T•••• W••••• M••••••••• L•• mixed wealth currentsince Sep 26, 2019 · Spring, Tx
- U••••• C•••••• F•••••••• A••••••• independent RIASep 26, 2018 to Sep 25, 2019 · Spring, Tx
- M•• F•••••••• S••••••• L•• unclassifiedJun 25, 2018 to Dec 31, 2018 · Spring, Tx
- U••••• C•••••• F•••••••• A••••••• to B•••• T•••• W••••• M••••••••• L••left Sep 25, 2019, registered Sep 26, 2019 (1 days) · Affiliated broker-dealer or bank to independent RIA
- M•• F•••••••• S••••••• L•• to U••••• C•••••• F•••••••• A•••••••left Dec 31, 2018, registered Sep 26, 2018 (-96 days) · Other · moved with a team
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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address