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.
M•••••• A•••••• G•••••••
- W•••• F•••• A••••••• wirehouse currentsince Apr 10, 2017 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 8, 2015 to Apr 4, 2017 · Houston, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerOct 15, 2010 to Apr 8, 2015 · Houston, Tx
- S• J•••• W••••• M••••••••• unclassifiedApr 7, 2010 to Oct 15, 2010 · Sugarland, Tx
- B••• C•••••• I••••••••• S••••••••• I•• unclassifiedMar 1, 2010 to Mar 16, 2010 · Richmond, Tx
- R•••••• J•••• • A••••••••• I••• national BDMar 23, 2005 to Aug 12, 2005 · Fort Worth, Tx
- A• G• E•••••• • S•••• I••• unclassifiedJul 24, 2003 to Sep 13, 2004 · Frisco, Tx
- O•••• F•• I••• formerFeb 18, 2003 to May 8, 2003 · Dallas, Tx
- M••••• S•••••• D• I••• unclassifiedMay 18, 2001 to Jan 14, 2003 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Apr 4, 2017, registered Apr 10, 2017 (6 days) · Wirehouse to wirehouse
- P•• M•••••• A•••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 8, 2015, registered Apr 8, 2015 (0 days) · Other · moved with a team
- S• J•••• W••••• M••••••••• to P•• M•••••• A•••••• S••••••••• I•••left Oct 15, 2010, registered Oct 15, 2010 (0 days) · corporate re-registration, not a move
- B••• C•••••• I••••••••• S••••••••• I•• to S• J•••• W••••• M•••••••••left Mar 16, 2010, registered Apr 7, 2010 (22 days) · corporate re-registration, not a move
- R•••••• J•••• • A••••••••• I••• to B••• C•••••• I••••••••• S••••••••• I••left Aug 12, 2005, registered Mar 1, 2010 (1662 days) · Other
- A• G• E•••••• • S•••• I••• to R•••••• J•••• • A••••••••• I•••left Sep 13, 2004, registered Mar 23, 2005 (191 days) · Other
- O•••• F•• I••• to A• G• E•••••• • S•••• I•••left May 8, 2003, registered Jul 24, 2003 (77 days) · Other
- M••••• S•••••• D• I••• to O•••• F•• I•••left Jan 14, 2003, registered Feb 18, 2003 (35 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address