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.
A•••••• F•••• G••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Sep 24, 2020 · Houston, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 6, 2009 to Sep 26, 2020 · Houston, Tx
- T• A••••••••• I••• formerMay 6, 2009 to Sep 26, 2020 · Houston, Tx
- C•••••• S••••• • C••• I••• national BDNov 17, 2006 to Jan 27, 2009 · Houston, Tx
- L•••••••• F•••••••• A•••••••• I••• unclassifiedOct 19, 2005 to Apr 10, 2007 · Houston, Tx
- L•••••••• A•••• M••••••••• I••• formerOct 19, 2005 to Apr 17, 2007 · Houston, Tx
- S•••••••• A••••••• L•• national BDJan 10, 2001 to May 31, 2005 · Scottsdale, Az
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Sep 26, 2020, registered May 6, 2009 (-4161 days) · Other · moved with a team
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Sep 26, 2020, registered May 6, 2009 (-4161 days) · channel change inside one enterprise, not a move
- C•••••• S••••• • C••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 27, 2009, registered May 6, 2009 (99 days) · Other
- L•••••••• A•••• M••••••••• I••• to C•••••• S••••• • C••• I•••left Apr 17, 2007, registered Nov 17, 2006 (-151 days) · Other
- L•••••••• F•••••••• A•••••••• I••• to L•••••••• A•••• M••••••••• I•••left Apr 10, 2007, registered Oct 19, 2005 (-538 days) · Other
- S•••••••• A••••••• L•• to L•••••••• F•••••••• A•••••••• I•••left May 31, 2005, registered Oct 19, 2005 (141 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