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••••• S•••••• wirehouse currentsince Aug 10, 2016 · Houston, Tx
- N•••••••• B••••• B• L•• no RAUMMar 19, 2009 to Aug 9, 2016 · Houston, Tx
- S••••••• G•••• C•••••• unclassifiedJun 16, 2008 to Mar 10, 2009 · Houston, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 22, 2003 to Jun 17, 2008 · Sugar Land, Tx
- N•••••••• B••••• B• L•• to M••••• S••••••left Aug 9, 2016, registered Aug 10, 2016 (1 days) · Other · moved with a team
- S••••••• G•••• C•••••• to N•••••••• B••••• B• L••left Mar 10, 2009, registered Mar 19, 2009 (9 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to S••••••• G•••• C••••••left Jun 17, 2008, registered Jun 16, 2008 (-1 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address