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.
H•••••• G•••••••••
- O••••••••• • C•• I••• BD affiliated currentsince Mar 18, 2021 · Houston, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 15, 2021 · Houston, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 4, 2008 to Jun 1, 2009 · Houston, Tx
- U•• I••••••••• I••• unclassifiedSep 15, 2003 to Apr 28, 2008 · Houston, Tx
- C•••• I••••••••• S••••••• C•••• formerJul 22, 2003 to Sep 18, 2003 · New York, Ny
- M••••• S•••••• to O••••••••• • C•• I•••left Mar 15, 2021, registered Mar 18, 2021 (3 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•• I••••••••• I••• to C•••••••• G••••• M•••••• I•••left Apr 28, 2008, registered Apr 4, 2008 (-24 days) · Other
- C•••• I••••••••• S••••••• C•••• to U•• I••••••••• I•••left Sep 18, 2003, registered Sep 15, 2003 (-3 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address