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••• M••••• F••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Nov 10, 2016 · Houston, Tx
- O••••••••• • C•• I••• BD affiliatedMar 19, 2009 to Nov 11, 2016 · The Woodlands, Tx
- S••••••• G•••• C•••••• unclassifiedDec 4, 2003 to Mar 16, 2009 · Houston, Tx
- P•••• S••••••••• L•• no RAUMApr 15, 2003 to Oct 14, 2003 · Houston, Tx
- P••••••••• E••••• G••••• L•• unclassifiedJan 22, 2001 to Apr 2, 2003 · Houston, Tx
- O••••••••• • C•• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Nov 11, 2016, registered Nov 10, 2016 (-1 days) · Other
- S••••••• G•••• C•••••• to O••••••••• • C•• I•••left Mar 16, 2009, registered Mar 19, 2009 (3 days) · Other
- P•••• S••••••••• L•• to S••••••• G•••• C••••••left Oct 14, 2003, registered Dec 4, 2003 (51 days) · Other
- P••••••••• E••••• G••••• L•• to P•••• S••••••••• L••left Apr 2, 2003, registered Apr 15, 2003 (13 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address