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.
A•••••• D•••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jan 24, 2022 · Houston, Tx
- I•• W••••• M••••••••• I••• BD affiliatedJan 15, 2021 to Nov 30, 2021 · Decatur, Il
- I•••••• A•••••••• I••• asset managerJan 1, 2010 to Jul 8, 2014 · Atlanta, Ga
- I•••••• A•• P•••••• A•••• M••••••••• I••• unclassifiedMay 30, 2007 to Jan 1, 2010 · Houston, Tx
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to May 7, 2007 · Newport Beach, Ca
- M••••• S•••••• D• I••• unclassifiedMar 3, 2005 to Apr 2, 2007 · Newport Beach, Ca
- S••••••• F•••••••• S•••••••• I••• formerJul 30, 2002 to Feb 15, 2005 · Newport Beach, Ca
- I•• W••••• M••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 30, 2021, registered Jan 24, 2022 (55 days) · Affiliated broker-dealer or bank to wirehouse
- I•••••• A•••••••• I••• to I•• W••••• M••••••••• I•••left Jul 8, 2014, registered Jan 15, 2021 (2383 days) · Other
- I•••••• A•• P•••••• A•••• M••••••••• I••• to I•••••• A•••••••• I•••left Jan 1, 2010, registered Jan 1, 2010 (0 days) · corporate re-registration, not a move
- M••••• S•••••• • C•• L•• to I•••••• A•• P•••••• A•••• M••••••••• I•••left May 7, 2007, registered May 30, 2007 (23 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- S••••••• F•••••••• S•••••••• I••• to M••••• S•••••• D• I•••left Feb 15, 2005, registered Mar 3, 2005 (16 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address