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.
S•••• A••• F•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 5, 2009 · Sugar Land, Tx
- A••••••••• A•••••• S•••••••• I••• unclassifiedFeb 4, 2009 to Oct 5, 2009 · Sugar Land, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 9, 2003 to Jan 27, 2009 · Sugar Land, Tx
- U•• F•••••••• S••••••• I••• wirehouseJul 9, 1999 to Sep 15, 2003 · Sugarland, Tx
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• A•••••• S•••••••• I•••left Jan 27, 2009, registered Feb 4, 2009 (8 days) · Other
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 15, 2003, registered Sep 9, 2003 (-6 days) · Wirehouse to wirehouse
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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address