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.
- W•••• F•••• A••••••• wirehouse currentsince Jun 17, 2021 · Houston, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerOct 15, 2010 to Jun 17, 2021 · Houston, Tx
- S• J•••• W••••• M••••••••• unclassifiedJul 7, 2010 to Oct 15, 2010 · Houston, Tx
- B••• C•••••• I••••••••• S••••••••• I•• unclassifiedApr 14, 2010 to Jul 7, 2010 · Houston, Tx
- P••• A••••• S••••••••• L•• BD affiliatedOct 9, 2009 to Mar 31, 2010 · Houston, Tx
- W•••• F•••• A••••••• wirehouseSep 19, 2007 to Sep 3, 2009 · Pearland, Tx
- B••• C•••••• I••••••••• S••••••••• I•• unclassifiedFeb 22, 2005 to Sep 17, 2007 · Friendswood, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 20, 2001 to Mar 16, 2005 · Houston, Tx
- P•• M•••••• A•••••• S••••••••• I••• to W•••• F•••• A•••••••left Jun 17, 2021, registered Jun 17, 2021 (0 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- S• J•••• W••••• M••••••••• to P•• M•••••• A•••••• S••••••••• I•••left Oct 15, 2010, registered Oct 15, 2010 (0 days) · corporate re-registration, not a move
- B••• C•••••• I••••••••• S••••••••• I•• to S• J•••• W••••• M•••••••••left Jul 7, 2010, registered Jul 7, 2010 (0 days) · Other
- P••• A••••• S••••••••• L•• to B••• C•••••• I••••••••• S••••••••• I••left Mar 31, 2010, registered Apr 14, 2010 (14 days) · Other
- W•••• F•••• A••••••• to P••• A••••• S••••••••• L••left Sep 3, 2009, registered Oct 9, 2009 (36 days) · Other
- B••• C•••••• I••••••••• S••••••••• I•• to W•••• F•••• A•••••••left Sep 17, 2007, registered Sep 19, 2007 (2 days) · Other
- C•••••••• G••••• M•••••• I••• to B••• C•••••• I••••••••• S••••••••• I••left Mar 16, 2005, registered Feb 22, 2005 (-22 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address