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 Sep 25, 2020 · Houston, Tx
- B• R•••• W••••• M••••••••• formerOct 21, 2013 to Oct 20, 2020 · Houston, Tx
- A•••• A•••• A••••••• formerMar 14, 2013 to Aug 14, 2013 · San Antonio, Tx
- W•• A•••••••• L• formerJan 3, 2012 to Oct 24, 2013 · Houston, Tx
- B• R•••• W••••• M••••••••• to M••••• S••••••left Oct 20, 2020, registered Sep 25, 2020 (-25 days) · Affiliated broker-dealer or bank to wirehouse
- W•• A•••••••• L• to A•••• A•••• A•••••••left Oct 24, 2013, registered Mar 14, 2013 (-224 days) · Other
- A•••• A•••• A••••••• to B• R•••• W••••• M•••••••••left Aug 14, 2013, registered Oct 21, 2013 (68 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