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•••••• R•••••• C••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jan 28, 2016 · Houston, Tx
- D••••••• B••• S••••••••• I••• no RAUMAug 30, 2013 to Feb 2, 2016 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 9, 2011 to Sep 3, 2013 · Houston, Tx
- S•••••• M••••• L•• independent RIAJun 14, 2006 to Aug 8, 2011 · Solon, Oh
- S•• C•••••• A••••••• L•• institutionalApr 18, 2006 to Aug 8, 2011 · Fort Worth, Tx
- O••••••••• A•••• M••••••••• BD affiliatedApr 15, 2003 to Apr 18, 2006 · New York, Ny
- O••••••••• • C•• I••• BD affiliatedJan 3, 2003 to Apr 15, 2003 · Houston, Tx
- C••• W•••• M•••••• C•••• unclassifiedMay 7, 1996 to Jan 3, 2003 · New York, Ny
- D••••••• B••• S••••••••• I••• to U•• F•••••••• S••••••• I•••left Feb 2, 2016, registered Jan 28, 2016 (-5 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to D••••••• B••• S••••••••• I•••left Sep 3, 2013, registered Aug 30, 2013 (-4 days) · Other
- S•• C•••••• A••••••• L•• to S•••••• M••••• L••left Aug 8, 2011, registered Jun 14, 2006 (-1881 days) · Other
- S•••••• M••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 8, 2011, registered Aug 9, 2011 (1 days) · Other
- O••••••••• A•••• M••••••••• to S•• C•••••• A••••••• L••left Apr 18, 2006, registered Apr 18, 2006 (0 days) · Other
- O••••••••• • C•• I••• to O••••••••• A•••• M•••••••••left Apr 15, 2003, registered Apr 15, 2003 (0 days) · corporate re-registration, not a move
- C••• W•••• M•••••• C•••• to O••••••••• • C•• I•••left Jan 3, 2003, registered Jan 3, 2003 (0 days) · corporate re-registration, not a move
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address