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.
S•••• D••••• B••••
- B•••••• F•••••••• A•••••••• L•• state registered currentsince Sep 6, 2019 · Austin, Tx
- C••••• • A••••••••• I••• independent RIAAug 1, 2016 to Sep 4, 2019 · Austin, Tx
- V•• A••••••• S••••••• formerFeb 7, 2003 to Aug 2, 2016 · Austin, Tx
- T•• M••••••• I••• unclassifiedSep 3, 2002 to Feb 7, 2003 · Austin, Tx
- E•••••••• A•••••••• L•• national BDDec 19, 1997 to Oct 2, 2002 · Austin, Tx
- C••••• • A••••••••• I••• to B•••••• F•••••••• A•••••••• L••left Sep 4, 2019, registered Sep 6, 2019 (2 days) · RIA to a state-registered adviser
- V•• A••••••• S••••••• to C••••• • A••••••••• I•••left Aug 2, 2016, registered Aug 1, 2016 (-1 days) · Other
- T•• M••••••• I••• to V•• A••••••• S•••••••left Feb 7, 2003, registered Feb 7, 2003 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to T•• M••••••• I•••left Oct 2, 2002, registered Sep 3, 2002 (-29 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
- STATE REGISTEREDderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address