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.
T••• M••••••• B••••
- A••••••• B••••• A•••••••• I••• other currentsince Jan 17, 2012 · Irving, Tx
- S••••••• I••••••••• M••••••••• G••••• L•• asset managerSep 29, 2006 to Jan 13, 2012 · Little Rock, Ar
- S••••••• BD affiliatedSep 25, 2006 to Jan 5, 2012 · Houston, Tx
- I•••••• A•• P•••••• A•••• M••••••••• I••• unclassifiedJul 12, 2005 to Oct 9, 2006 · Houston, Tx
- S••••••• I••••••••• M••••••••• G••••• L•• to A••••••• B••••• A•••••••• I•••left Jan 13, 2012, registered Jan 17, 2012 (4 days) · Other
- S••••••• to S••••••• I••••••••• M••••••••• G••••• L••left Jan 5, 2012, registered Sep 29, 2006 (-1924 days) · Other
- I•••••• A•• P•••••• A•••• M••••••••• I••• to S•••••••left Oct 9, 2006, registered Sep 25, 2006 (-14 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
- Other adviserderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address