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.
M•••••• T••••• S••••••
- V•••• F•••••••• A•••••••• I••• BD affiliated currentsince Aug 22, 2016 · Houston, Tx
- S•••••••• F••••••••• I••• formerJun 26, 2015 to Sep 21, 2015 · Houston, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 27, 2006 to May 7, 2009 · Houston, Tx
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Oct 31, 2006 · Houston, Tx
- P••••••••• E••••• G••••• L•• unclassifiedApr 9, 1998 to Jul 1, 2003 · Houston, Tx
- S•••••••• F••••••••• I••• to V•••• F•••••••• A•••••••• I•••left Sep 21, 2015, registered Aug 22, 2016 (336 days) · Other
- C•••••••• G••••• M•••••• I••• to S•••••••• F••••••••• I•••left May 7, 2009, registered Jun 26, 2015 (2241 days) · Other
- W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••left Oct 31, 2006, registered Oct 27, 2006 (-4 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address