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.
J••••• S•••••••••
- V••• R••••••••• A•••••••• L•• other currentsince Sep 15, 2018 · Windsor, Ct
- V••• F•••••••• A•••••••• I••• BD affiliatedJun 15, 2016 to May 22, 2018 · League City, Tx
- L•• F•••••••• L•• BD affiliatedOct 30, 2015 to Apr 15, 2016 · Houston, Tx
- A•••• I••••••••• I••• formerJan 8, 2009 to Dec 31, 2015 · Cypress, Tx
- Z•••• C•••••• A•••••••• I••• institutionalJan 8, 2007 to Jan 6, 2009 · Dickinson, Tx
- Z•••• D•••••• I••• unclassifiedApr 21, 2006 to Dec 31, 2006 · Cypress, Tx
- V••• F•••••••• A•••••••• I••• to V••• R••••••••• A•••••••• L••left May 22, 2018, registered Sep 15, 2018 (116 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- L•• F•••••••• L•• to V••• F•••••••• A•••••••• I•••left Apr 15, 2016, registered Jun 15, 2016 (61 days) · Other
- A•••• I••••••••• I••• to L•• F•••••••• L••left Dec 31, 2015, registered Oct 30, 2015 (-62 days) · Other · moved with a team
- Z•••• C•••••• A•••••••• I••• to A•••• I••••••••• I•••left Jan 6, 2009, registered Jan 8, 2009 (2 days) · Other
- Z•••• D•••••• I••• to Z•••• C•••••• A•••••••• I•••left Dec 31, 2006, registered Jan 8, 2007 (8 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address