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.
D•••• W••••••• A•••••••
- P•••••••• S••••••••• I••• BD affiliated currentsince Jan 13, 2014 · Houston, Tx
- M•• F•••••••• S•••••••• I••• formerNov 29, 2007 to Dec 19, 2013 · Houston, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedApr 10, 2006 to Oct 29, 2007 · Houston, Tx
- T••••••• I••••••••• M••••••••• I••• BD affiliatedSep 30, 2004 to Mar 31, 2006 · Houston, Tx
- M•• F•••••••• S•••••••• I••• to P•••••••• S••••••••• I•••left Dec 19, 2013, registered Jan 13, 2014 (25 days) · Other
- M•• I•••••••• S•••••••• L•• to M•• F•••••••• S•••••••• I•••left Oct 29, 2007, registered Nov 29, 2007 (31 days) · Other
- T••••••• I••••••••• M••••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 31, 2006, registered Apr 10, 2006 (10 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address