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.
C•••••••• A•• S•••••• S••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Nov 16, 2015 · Houston, Tx
- C••••• S••••• S••••••••• •••• L•• formerApr 22, 2013 to Dec 15, 2015 · Houston, Tx
- M••••• S•••••• wirehouseNov 19, 2012 to May 2, 2013 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseDec 14, 2006 to Oct 15, 2012 · Lafayette, La
- C••••• S••••• S••••••••• •••• L•• to U•• F•••••••• S••••••• I•••left Dec 15, 2015, registered Nov 16, 2015 (-29 days) · corporate re-registration, not a move
- M••••• S•••••• to C••••• S••••• S••••••••• •••• L••left May 2, 2013, registered Apr 22, 2013 (-10 days) · Other
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Oct 15, 2012, registered Nov 19, 2012 (35 days) · Wirehouse to wirehouse
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address