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••••• S•••••• wirehouse currentsince Oct 9, 2013 · Houston, Tx
- W•••• F•••• A••••••• wirehouseApr 4, 2012 to Sep 16, 2013 · Houston, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to May 3, 2010 · Houston, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 12, 2008 to Jun 1, 2009 · Houston, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJul 1, 2003 to Oct 23, 2007 · Houston, Tx
- W•••• F•••• A••••••• to M••••• S••••••left Sep 16, 2013, registered Oct 9, 2013 (23 days) · Wirehouse to wirehouse
- M••••• S•••••• to W•••• F•••• A•••••••left May 3, 2010, registered Apr 4, 2012 (702 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to C•••••••• G••••• M•••••• I•••left Oct 23, 2007, registered Aug 12, 2008 (294 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address