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.
- P•••• F•••••••• independent RIA currentsince Jul 14, 2017 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 1, 2010 to Jul 18, 2017 · Houston, Tx
- S•••••••• A••••••• L•• national BDFeb 11, 2005 to Nov 28, 2005 · Bellevue, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•••• F••••••••left Jul 18, 2017, registered Jul 14, 2017 (-4 days) · Wirehouse to independent RIA
- S•••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 28, 2005, registered Dec 1, 2010 (1829 days) · Affiliated broker-dealer or bank to wirehouse
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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address