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.
F•••• F• B••••••
- V•••• F•••••••• A•••••••• I••• BD affiliated currentsince Oct 25, 2012 · Houston, Tx
- N•••••• A••••••• L•• state registeredFeb 17, 2011 to Oct 16, 2012 · The Woodlands, Tx
- H•• S••••••••• I••• unclassifiedMar 29, 2010 to Feb 1, 2011 · Houston, Tx
- Z•••• I••••••••• M••••••••• I••• mixed wealthApr 20, 2009 to Apr 5, 2010 · Chicago, Il
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Sep 24, 2008 · Houston, Tx
- B••• O•• S••••••••• C••••••••• unclassifiedNov 29, 2004 to Jul 6, 2005 · Houston, Tx
- M•• F•••••••• S•••••••• I••• formerMar 18, 2004 to Nov 15, 2004 · Houston, Tx
- N•••••• A••••••• L•• to V•••• F•••••••• A•••••••• I•••left Oct 16, 2012, registered Oct 25, 2012 (9 days) · Other
- H•• S••••••••• I••• to N•••••• A••••••• L••left Feb 1, 2011, registered Feb 17, 2011 (16 days) · Other
- Z•••• I••••••••• M••••••••• I••• to H•• S••••••••• I•••left Apr 5, 2010, registered Mar 29, 2010 (-7 days) · Other
- C•••• I••••••••• S••••••• C•••• to Z•••• I••••••••• M••••••••• I•••left Sep 24, 2008, registered Apr 20, 2009 (208 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to B••• O•• S••••••••• C•••••••••left Nov 15, 2004, registered Nov 29, 2004 (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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address