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 Oct 19, 2015 · Houston, Tx
- M•• F•••••••• S•••••••• I••• formerJul 29, 2015 to Aug 21, 2015 · Dallas, Tx
- O••••••••• • C•• I••• BD affiliatedApr 16, 2007 to Jul 6, 2015 · Dallas, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 22, 2004 to Apr 12, 2007 · Houston, Tx
- R•••••• J•••• • A••••••••• I••• national BDAug 7, 2003 to Oct 6, 2004 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseMay 25, 2000 to Jun 27, 2003 · Houston, Tx
- M•• F•••••••• S•••••••• I••• to M••••• S••••••left Aug 21, 2015, registered Oct 19, 2015 (59 days) · Other
- O••••••••• • C•• I••• to M•• F•••••••• S•••••••• I•••left Jul 6, 2015, registered Jul 29, 2015 (23 days) · Other
- C•••••••• G••••• M•••••• I••• to O••••••••• • C•• I•••left Apr 12, 2007, registered Apr 16, 2007 (4 days) · Other
- R•••••• J•••• • A••••••••• I••• to C•••••••• G••••• M•••••• I•••left Oct 6, 2004, registered Sep 22, 2004 (-14 days) · Other
- U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left Jun 27, 2003, registered Aug 7, 2003 (41 days) · Wirehouse to affiliated broker-dealer or bank
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address