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••••• S•••••• wirehouse currentsince Jan 2, 2015 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 2, 2011 to Jan 5, 2015 · Dallas, Tx
- L•• F•••••••• L•• BD affiliatedFeb 13, 2009 to May 6, 2011 · Houston, Tx
- A••••••••• A•••••• S•••••••• I••• unclassifiedJan 12, 2006 to Feb 21, 2008 · Kansas City, Mo
- B••• O•• S••••••••• C••••••••• unclassifiedAug 19, 2004 to Mar 16, 2005 · Houston, Tx
- C•••• I••••••••• S••••••• C•••• formerAug 4, 2003 to Mar 14, 2005 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jan 5, 2015, registered Jan 2, 2015 (-3 days) · Wirehouse to wirehouse
- L•• F•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 6, 2011, registered May 2, 2011 (-4 days) · Other
- A••••••••• A•••••• S•••••••• I••• to L•• F•••••••• L••left Feb 21, 2008, registered Feb 13, 2009 (358 days) · Other
- B••• O•• S••••••••• C••••••••• to A••••••••• A•••••• S•••••••• I•••left Mar 16, 2005, registered Jan 12, 2006 (302 days) · Other
- C•••• I••••••••• S••••••• C•••• to B••• O•• S••••••••• C•••••••••left Mar 14, 2005, registered Aug 19, 2004 (-207 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
- Wirehousederived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address