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.
I•••• M• K•••••
- S•••••• S••••••••• BD affiliated currentsince Jun 6, 2018 · Houston, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to May 21, 2018 · Houston, Tx
- M••••• S•••••• • C•• L•• unclassifiedAug 15, 2008 to Jun 1, 2009 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseMay 26, 2003 to Aug 29, 2008 · Beaumont, Tx
- M••••• S•••••• to S•••••• S•••••••••left May 21, 2018, registered Jun 6, 2018 (16 days) · Wirehouse to independent RIA
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M••••• S•••••• • C•• L••left Aug 29, 2008, registered Aug 15, 2008 (-14 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address