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.
L•••• M•••• A•••••
- P•• W••••• M••••••••• BD affiliated currentsince May 10, 2023 · Austin, Tx
- L•• F•••••••• L•• BD affiliatedNov 30, 2022 to May 11, 2023 · Austin, Tx
- O•••• I••••••••• I••• BD affiliatedApr 12, 2022 to Nov 30, 2022 · Austin, Tx
- L•• F•••••••• L•• to P•• W••••• M•••••••••left May 11, 2023, registered May 10, 2023 (-1 days) · Affiliated broker-dealer or bank to another
- O•••• I••••••••• I••• to L•• F•••••••• L••left Nov 30, 2022, registered Nov 30, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- L•••• M•••• A••••• left L•• F•••••••• L•• for P•• W••••• M••••••••• (registered 2023-05-10)May 11, 2023 · Advisor changed firm · fact
- L•••• M•••• A••••• left O•••• I••••••••• I••• for L•• F•••••••• L•• (registered 2022-11-30)Nov 30, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address