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.
G••••••• L•••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Sep 13, 2023 · Houston, Tx
- M••••• S•••••• wirehouseMar 3, 2017 to Sep 20, 2023 · Houston, Tx
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Mar 22, 2017 · Houston, Tx
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2007 to Oct 1, 2012 · Houston, Tx
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Sep 20, 2023, registered Sep 13, 2023 (-7 days) · Wirehouse to wirehouse
- J••• M••••• S••••••••• L•• to M••••• S••••••left Mar 22, 2017, registered Mar 3, 2017 (-19 days) · Wirehouse to wirehouse · moved with a team
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- G••••••• L••••••• left M••••• S•••••• for U•• F•••••••• S••••••• I••• (registered 2023-09-13)Sep 20, 2023 · Advisor changed firm · fact
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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address