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.
B•••••• P••••• C•••••
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Jan 15, 2025 · A•••••, Tx
- A••••• W••••• M••••••••• L•• independent RIAJun 29, 2023 to Jul 3, 2024 · A•••••, Tx
- C••••• A•••••• N••••••• L•• formerMar 30, 2023 to Jun 21, 2023 · A•••••, Tx
- A••••• W••••• M••••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Jul 3, 2024, registered Jan 15, 2025 (196 days) · Other
- C••••• A•••••• N••••••• L•• to A••••• W••••• M••••••••• L••left Jun 21, 2023, registered Jun 29, 2023 (8 days) · Affiliated broker-dealer or bank to independent RIA
- B•••••• P••••• C••••• left A••••• W••••• M••••••••• L•• for N••••••••• M••••• I••••••••• S••••••••• (registered 2025-01-15)Jul 3, 2024 · a•••••• firm change · fact
- B•••••• P••••• C••••• left C••••• A•••••• N••••••• L•• for A••••• W••••• M••••••••• L•• (registered 2023-06-29)Jun 21, 2023 · a•••••• firm change · 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
- No RAUM reportedderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address