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.
D••••• J•••• H••••••
- T•• S••••••••• S••••••• state registered currentsince Feb 25, 2016 · Germantown, Tn
- N••• F•••••••• G••••• I••• formerJul 2, 2009 to Apr 6, 2016 · Houston, Tx
- D•••• S• R••••••• formerJun 27, 2007 to Jul 30, 2009 · Valencia, Ca
- A••••••••• P••••••• I••••••••• A••••••• I•• unclassifiedJul 6, 2004 to Jun 30, 2009 · Stevenson Ranch, Ca
- N••• F•••••••• G••••• I••• to T•• S••••••••• S•••••••left Apr 6, 2016, registered Feb 25, 2016 (-41 days) · Other
- D•••• S• R••••••• to N••• F•••••••• G••••• I•••left Jul 30, 2009, registered Jul 2, 2009 (-28 days) · Other
- A••••••••• P••••••• I••••••••• A••••••• I•• to D•••• S• R•••••••left Jun 30, 2009, registered Jun 27, 2007 (-734 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
- STATE REGISTEREDderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address