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.
R••••• J••••• M••••••••
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIA currentsince Apr 7, 2011 · Scottsdale, Az
- W••••• R••••••••• I••• unclassifiedJan 2, 2003 to Nov 24, 2003 · Sugar Land, Tx
- P••••••• F•••••••• S•••••••• I••• BD affiliatedJul 25, 2002 to Mar 16, 2011 · Sugarland, Tx
- P••••••• F•••••••• S•••••••• I••• to W••••• R••••••••• I•••left Mar 16, 2011, registered Jan 2, 2003 (-2995 days) · Other
- W••••• R••••••••• I••• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left Nov 24, 2003, registered Apr 7, 2011 (2691 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
- Independent wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address