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•••• A••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 1, 2012 · Houston, Tx
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Oct 1, 2012 · Houston, Tx
- B••• O•• S••••••••• C••••••••• unclassifiedJul 23, 2002 to Jul 6, 2005 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseJan 19, 2001 to Jul 18, 2002 · Houston, Tx
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to B••• O•• S••••••••• C•••••••••left Jul 18, 2002, registered Jul 23, 2002 (5 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address