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•••• M•••••• C•••••••
- J•• A•••• M••••••••• L•• state registered currentsince Mar 13, 2018 · Rosenberg, Tx
- F•••• I••••••••• M••••••••• independent RIAJan 16, 2012 to Feb 14, 2018 · Houston, Tx
- C•••••• S••••• • C••• I••• national BDJul 10, 2000 to Nov 23, 2004 · Safety Harbor, Fl
- F•••• I••••••••• M••••••••• to J•• A•••• M••••••••• L••left Feb 14, 2018, registered Mar 13, 2018 (27 days) · Other
- C•••••• S••••• • C••• I••• to F•••• I••••••••• M•••••••••left Nov 23, 2004, registered Jan 16, 2012 (2610 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
- STATE REGISTEREDderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address