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.
I•••••• M•••• S••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Aug 1, 2014 · Austin, Tx
- P••••••••• S••••••••• C••••••••• independent RIAOct 7, 2013 to Jul 18, 2014 · Dallas, Tx
- V•••••••• F••••••••• L•• formerJun 29, 2010 to Oct 7, 2013 · Austin, Tx
- U•• F•••••••• S••••••••• L•• independent RIAApr 26, 2010 to Jun 30, 2010 · Ada, Mi
- N•• E•••••• S••••••••• C••••••••• formerAug 3, 2004 to Apr 22, 2010 · Dallas, Tx
- L•• F•••••••• L•• BD affiliatedFeb 14, 2000 to Jun 19, 2003 · Irving, Tx
- P••••••••• S••••••••• C••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jul 18, 2014, registered Aug 1, 2014 (14 days) · Other
- V•••••••• F••••••••• L•• to P••••••••• S••••••••• C•••••••••left Oct 7, 2013, registered Oct 7, 2013 (0 days) · Other
- U•• F•••••••• S••••••••• L•• to V•••••••• F••••••••• L••left Jun 30, 2010, registered Jun 29, 2010 (-1 days) · Other
- N•• E•••••• S••••••••• C••••••••• to U•• F•••••••• S••••••••• L••left Apr 22, 2010, registered Apr 26, 2010 (4 days) · Other
- L•• F•••••••• L•• to N•• E•••••• S••••••••• C•••••••••left Jun 19, 2003, registered Aug 3, 2004 (411 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address