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.
J••• R•••• D• V•••••••••
- O••••••••• • C•• I••• BD affiliated currentsince May 29, 2019 · Glen Rose, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to May 31, 2019 · Houston, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 6, 2008 to Jun 1, 2009 · Houston, Tx
- U•• I••••••••• I••• unclassifiedJun 3, 2002 to Jun 26, 2008 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseJun 27, 2001 to Jun 1, 2002 · Houston, Tx
- M••••• S•••••• to O••••••••• • C•• I•••left May 31, 2019, registered May 29, 2019 (-2 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•• I••••••••• I••• to C•••••••• G••••• M•••••• I•••left Jun 26, 2008, registered Jun 6, 2008 (-20 days) · Other
- U•• F•••••••• S••••••• I••• to U•• I••••••••• I•••left Jun 1, 2002, registered Jun 3, 2002 (2 days) · corporate re-registration, not a move
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address