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.
R•••••• L••• H••••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 2, 2018 · Houston, Tx
- S•••••••• I••••••••• M••••••••• formerJan 30, 2017 to Apr 2, 2018 · Saint Louis, Mo
- U•• F•••••••• S••••••• I••• wirehouseFeb 20, 2015 to Jan 27, 2017 · Houston, Tx
- M••••• S•••••• wirehouseApr 1, 2013 to Mar 9, 2015 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseDec 13, 2010 to Mar 25, 2013 · Houston, Tx
- W•••• F•••• A••••••• wirehouseJan 31, 2008 to Sep 16, 2009 · Austin, Tx
- U•• F•••••••• S••••••• I••• wirehouseNov 11, 2005 to Jan 4, 2008 · Austin, Tx
- S••••••• BD affiliatedApr 30, 2002 to Oct 18, 2005 · Austin, Tx
- S•••••••• I••••••••• M••••••••• to L•• F•••••••• L••left Apr 2, 2018, registered Apr 2, 2018 (0 days) · Affiliated broker-dealer or bank to independent RIA
- U•• F•••••••• S••••••• I••• to S•••••••• I••••••••• M•••••••••left Jan 27, 2017, registered Jan 30, 2017 (3 days) · Other
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Mar 9, 2015, registered Feb 20, 2015 (-17 days) · Wirehouse to wirehouse · moved with a team
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Mar 25, 2013, registered Apr 1, 2013 (7 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Sep 16, 2009, registered Dec 13, 2010 (453 days) · Wirehouse to wirehouse
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Jan 4, 2008, registered Jan 31, 2008 (27 days) · Wirehouse to wirehouse
- S••••••• to U•• F•••••••• S••••••• I•••left Oct 18, 2005, registered Nov 11, 2005 (24 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address