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.
- M••••• S•••••• wirehouse currentsince Jan 11, 2022 · Houston, Tx
- W•••• F•••• A••••••• wirehouseSep 15, 2017 to Dec 14, 2021 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseApr 5, 2011 to Sep 26, 2017 · Houston, Tx
- C•••• I••••••••• S••••••• C•••• formerJun 18, 2010 to Mar 28, 2011 · Houston, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 3, 2010 · Houston, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 8, 2004 to Jun 1, 2009 · Houston, Tx
- M••••• S•••••• D• I••• unclassifiedAug 18, 2003 to Sep 9, 2004 · Webster, Tx
- O••••••••• A•••• M••••••••• BD affiliatedApr 15, 2003 to Aug 18, 2003 · New York, Ny
- O••••••••• • C•• I••• BD affiliatedJan 3, 2003 to Apr 15, 2003 · Houston, Tx
- C••• W•••• M•••••• C•••• unclassifiedAug 28, 2002 to Jan 3, 2003 · Houston, Tx
- W•••• F•••• A••••••• to M••••• S••••••left Dec 14, 2021, registered Jan 11, 2022 (28 days) · Wirehouse to wirehouse · moved with a team
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Sep 26, 2017, registered Sep 15, 2017 (-11 days) · Wirehouse to wirehouse · moved with a team
- C•••• I••••••••• S••••••• C•••• to U•• F•••••••• S••••••• I•••left Mar 28, 2011, registered Apr 5, 2011 (8 days) · Other
- M••••• S•••••• to C•••• I••••••••• S••••••• C••••left Jun 3, 2010, registered Jun 18, 2010 (15 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to C•••••••• G••••• M•••••• I•••left Sep 9, 2004, registered Sep 8, 2004 (-1 days) · Other
- O••••••••• A•••• M••••••••• to M••••• S•••••• D• I•••left Aug 18, 2003, registered Aug 18, 2003 (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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address