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••• W•••••• S••••••
- W•••• F•••• A••••••• wirehouse currentsince Jun 28, 2019 · Houston, Tx
- M••••• S•••••• wirehouseDec 4, 2009 to Jul 2, 2019 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 9, 2002 to Dec 8, 2009 · Houston, Tx
- M••••• V•• C••••••••• I••• formerNov 7, 2001 to Jun 7, 2002 · Houston, Tx
- M••••• S•••••• to W•••• F•••• A•••••••left Jul 2, 2019, registered Jun 28, 2019 (-4 days) · Wirehouse to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Dec 8, 2009, registered Dec 4, 2009 (-4 days) · Wirehouse to wirehouse
- M••••• V•• C••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 7, 2002, registered Jul 9, 2002 (32 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address