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••••••• B•••••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Apr 17, 2015 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseJan 1, 2010 to May 14, 2015 · Houston, Tx
- U•• I••••••••• I••• unclassifiedAug 26, 2005 to Jan 1, 2010 · Houston, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 11, 1999 to Sep 9, 2005 · Houston, Tx
- U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left May 14, 2015, registered Apr 17, 2015 (-27 days) · Wirehouse to affiliated broker-dealer or bank
- U•• I••••••••• I••• to U•• F•••••••• S••••••• I•••left Jan 1, 2010, registered Jan 1, 2010 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to U•• I••••••••• I•••left Sep 9, 2005, registered Aug 26, 2005 (-14 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
- National broker-dealer RIAderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address