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.
S•••• M• Z••••••
- M••••• S•••••• wirehouse currentsince Jun 2, 2021 · Houston, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerJan 9, 2012 to Jun 2, 2021 · Houston, Tx
- L•• F•••••••• L•• BD affiliatedMay 15, 2009 to Jan 5, 2012 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseAug 20, 2007 to Jun 4, 2009 · Houston, Tx
- A• G• E•••••• • S•••• I••• unclassifiedAug 22, 2002 to Aug 28, 2007 · Houston, Tx
- P•• M•••••• A•••••• S••••••••• I••• to M••••• S••••••left Jun 2, 2021, registered Jun 2, 2021 (0 days) · Affiliated broker-dealer or bank to wirehouse
- L•• F•••••••• L•• to P•• M•••••• A•••••• S••••••••• I•••left Jan 5, 2012, registered Jan 9, 2012 (4 days) · Other
- U•• F•••••••• S••••••• I••• to L•• F•••••••• L••left Jun 4, 2009, registered May 15, 2009 (-20 days) · Other
- A• G• E•••••• • S•••• I••• to U•• F•••••••• S••••••• I•••left Aug 28, 2007, registered Aug 20, 2007 (-8 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
- Wirehousederived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address