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.
D•••• R•• A•••••
- P•• W••••• M••••••••• BD affiliated currentsince Aug 18, 2021 · Arlington, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerOct 15, 2010 to Aug 17, 2021 · Houston, Tx
- S• J•••• W••••• M••••••••• unclassifiedApr 5, 2010 to Oct 15, 2010 · Arlington, Tx
- B••• C•••••• I••••••••• S••••••••• I•• unclassifiedMar 26, 2010 to Oct 19, 2010 · Arlington, Tx
- I••• S••••••••• I••• unclassifiedDec 10, 2004 to Jan 13, 2006 · Costa Mesa, Ca
- C••••••• S••••••••• formerNov 26, 2003 to Jan 3, 2005 · Torrence, Ca
- E•••••••• A•••••••• L•• national BDDec 3, 2002 to Nov 4, 2003 · Dallas, Tx
- P•• M•••••• A•••••• S••••••••• I••• to P•• W••••• M•••••••••left Aug 17, 2021, registered Aug 18, 2021 (1 days) · corporate re-registration, not a move
- B••• C•••••• I••••••••• S••••••••• I•• to S• J•••• W••••• M•••••••••left Oct 19, 2010, registered Apr 5, 2010 (-197 days) · Other
- S• J•••• W••••• M••••••••• to P•• M•••••• A•••••• S••••••••• I•••left Oct 15, 2010, registered Oct 15, 2010 (0 days) · corporate re-registration, not a move
- I••• S••••••••• I••• to B••• C•••••• I••••••••• S••••••••• I••left Jan 13, 2006, registered Mar 26, 2010 (1533 days) · Other
- C••••••• S••••••••• to I••• S••••••••• I•••left Jan 3, 2005, registered Dec 10, 2004 (-24 days) · Other
- E•••••••• A•••••••• L•• to C••••••• S•••••••••left Nov 4, 2003, registered Nov 26, 2003 (22 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address