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.
A••••• J••• A••••
- W••••••• M••••••••• C••• other currentsince Feb 16, 2023 · Houston, Tx
- S•••••• C•••••• A•••••••• L•• formerSep 5, 2011 to Nov 21, 2022 · Houston, Tx
- W•••• F•••• A••••••• wirehouseMar 22, 2006 to May 30, 2007 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseMar 26, 2004 to Oct 1, 2004 · Weehawken, Nj
- S•••••• C•••••• A•••••••• L•• to W••••••• M••••••••• C•••left Nov 21, 2022, registered Feb 16, 2023 (87 days) · Other · moved with a team
- W•••• F•••• A••••••• to S•••••• C•••••• A•••••••• L••left May 30, 2007, registered Sep 5, 2011 (1559 days) · Other
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Oct 1, 2004, registered Mar 22, 2006 (537 days) · Wirehouse to wirehouse
- A••••• J••• A•••• left S•••••• C•••••• A•••••••• L•• for W••••••• M••••••••• C••• (registered 2023-02-16)Nov 21, 2022 · Advisor changed firm · fact
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
- Other adviserderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address