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.
V••••• M••••• B•••••••••
- O••••••••• • C•• I••• BD affiliated currentsince Jul 13, 2021 · Houston, Tx
- W•••• F•••• A••••••• wirehouseNov 28, 2016 to Jul 16, 2021 · Houston, Tx
- I••••••• A••••••• S•••••••• L•• mixed wealthApr 27, 2016 to Nov 29, 2016 · Houston, Tx
- I••••••• W••••• A•••••••• L•• formerApr 13, 2015 to Nov 18, 2016 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 30, 2009 to Mar 25, 2015 · Houston, Tx
- U•• I••••••••• I••• unclassifiedJun 3, 2002 to May 21, 2009 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseMar 15, 2002 to Jun 1, 2002 · Houston, Tx
- W•••• F•••• A••••••• to O••••••••• • C•• I•••left Jul 16, 2021, registered Jul 13, 2021 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- I••••••• A••••••• S•••••••• L•• to W•••• F•••• A•••••••left Nov 29, 2016, registered Nov 28, 2016 (-1 days) · Other · moved with a team
- I••••••• W••••• A•••••••• L•• to I••••••• A••••••• S•••••••• L••left Nov 18, 2016, registered Apr 27, 2016 (-205 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••••• W••••• A•••••••• L••left Mar 25, 2015, registered Apr 13, 2015 (19 days) · Other · moved with a team
- U•• I••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 21, 2009, registered Apr 30, 2009 (-21 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address