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.
J••••• F•••••• E••••••
- A••••••• A•••• C••• state registered currentsince Dec 10, 2016 · Houston, Tx
- A••••••• P••••••••• A•••••••• I•• formerJan 14, 2011 to Dec 31, 2016 · Holbrook, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 9, 2006 to Nov 17, 2010 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseApr 12, 2002 to Aug 3, 2006 · Houston, Tx
- A••••••• P••••••••• A•••••••• I•• to A••••••• A•••• C•••left Dec 31, 2016, registered Dec 10, 2016 (-21 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••• P••••••••• A•••••••• I••left Nov 17, 2010, registered Jan 14, 2011 (58 days) · Other
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 3, 2006, registered Aug 9, 2006 (6 days) · Wirehouse to wirehouse
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
- STATE REGISTEREDderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address