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•••••• L• M•••••
- P••• A••••• S••••••••• L•• BD affiliated currentsince Oct 23, 2020 · New York, Ny
- H••••• M••• I••••••••• I••• no RAUMAug 12, 2018 to Aug 25, 2020 · Springfield, Il
- M•• I•••••••• S•••••••• L•• BD affiliatedJul 27, 2010 to Aug 7, 2018 · Houston, Tx
- P••• A••••••• I••••••••• A•••••••• I••• independent RIAJan 6, 2010 to Feb 8, 2010
- A••••• A•• P••••••• S••••••• BD affiliatedJan 4, 2008 to May 22, 2009 · Katy, Tx
- S•••••••• A••••••• L•• national BDNov 28, 2006 to Oct 31, 2007 · Houston, Tx
- H••••• M••• I••••••••• I••• to P••• A••••• S••••••••• L••left Aug 25, 2020, registered Oct 23, 2020 (59 days) · Other
- M•• I•••••••• S•••••••• L•• to H••••• M••• I••••••••• I•••left Aug 7, 2018, registered Aug 12, 2018 (5 days) · Other
- P••• A••••••• I••••••••• A•••••••• I••• to M•• I•••••••• S•••••••• L••left Feb 8, 2010, registered Jul 27, 2010 (169 days) · Other
- A••••• A•• P••••••• S••••••• to P••• A••••••• I••••••••• A•••••••• I•••left May 22, 2009, registered Jan 6, 2010 (229 days) · Other
- S•••••••• A••••••• L•• to A••••• A•• P••••••• S•••••••left Oct 31, 2007, registered Jan 4, 2008 (65 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address