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.
T•••• A•••• B•••••••
- O••••••••• • C•• I••• BD affiliated currentsince Mar 5, 2021 · The Woodlands, Tx
- W•••• F•••• A••••••• wirehouseDec 5, 2014 to Feb 9, 2021 · The Woodlands, Tx
- U•• F•••••••• S••••••• I••• wirehouseFeb 6, 2007 to Dec 15, 2014 · The Woodlands, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 17, 2002 to Feb 7, 2007 · Houston, Tx
- W•••• F•••• A••••••• to O••••••••• • C•• I•••left Feb 9, 2021, registered Mar 5, 2021 (24 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Dec 15, 2014, registered Dec 5, 2014 (-10 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Feb 7, 2007, registered Feb 6, 2007 (-1 days) · Wirehouse to wirehouse
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