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.
E•••• M••••• M••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince May 10, 2021 · Hempstead, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerJul 26, 2011 to May 3, 2021 · Tomball, Tx
- W•••• F•••• A••••••• wirehouseNov 15, 2010 to Jun 28, 2011 · Bryan, Tx
- C•••• I••••••••• S••••••• C•••• formerMay 22, 2009 to Nov 16, 2010 · Brenham, Tx
- W••• I••••••••• I••• unclassifiedDec 18, 2007 to Feb 2, 2009 · Houston, Tx
- B••• C•••••• I••••••••• S••••••••• I•• unclassifiedDec 20, 2006 to Oct 29, 2007 · Houston, Tx
- W•••• F•••• I••••••••• L•• unclassifiedSep 27, 2004 to Jun 13, 2006 · Katy, Tx
- P•• M•••••• A•••••• S••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left May 3, 2021, registered May 10, 2021 (7 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to P•• M•••••• A•••••• S••••••••• I•••left Jun 28, 2011, registered Jul 26, 2011 (28 days) · Other
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••left Nov 16, 2010, registered Nov 15, 2010 (-1 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left Feb 2, 2009, registered May 22, 2009 (109 days) · Other
- B••• C•••••• I••••••••• S••••••••• I•• to W••• I••••••••• I•••left Oct 29, 2007, registered Dec 18, 2007 (50 days) · Other
- W•••• F•••• I••••••••• L•• to B••• C•••••• I••••••••• S••••••••• I••left Jun 13, 2006, registered Dec 20, 2006 (190 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address