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.
C••••••••• D•••• S•• L••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 10, 2012 · Richmond, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerOct 15, 2010 to Jun 1, 2012 · Houston, Tx
- S• J•••• W••••• M••••••••• unclassifiedJul 7, 2010 to Oct 15, 2010 · Houston, Tx
- B••• C•••••• I••••••••• S••••••••• I•• unclassifiedJan 15, 2009 to Mar 12, 2010 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseNov 21, 2007 to Dec 26, 2008 · Sugar Land, Tx
- U•• S•••••••• L•• unclassifiedFeb 6, 1998 to Apr 20, 2005 · Sugar Land, Tx
- P•• M•••••• A•••••• S••••••••• I••• to L•• F•••••••• L••left Jun 1, 2012, registered Aug 10, 2012 (70 days) · Other
- S• J•••• W••••• M••••••••• to P•• M•••••• A•••••• S••••••••• I•••left Oct 15, 2010, registered Oct 15, 2010 (0 days) · corporate re-registration, not a move
- B••• C•••••• I••••••••• S••••••••• I•• to S• J•••• W••••• M•••••••••left Mar 12, 2010, registered Jul 7, 2010 (117 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to B••• C•••••• I••••••••• S••••••••• I••left Dec 26, 2008, registered Jan 15, 2009 (20 days) · Other
- U•• S•••••••• L•• to U•• F•••••••• S••••••• I•••left Apr 20, 2005, registered Nov 21, 2007 (945 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address