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.
J••• D•••••• W•••••
- W•••• F•••• A••••••• wirehouse currentsince Apr 4, 2018 · The Woodlands, Tx
- C•••••• O•• A•••••••• L•• formerJan 28, 2015 to Apr 5, 2018 · Seattle, Wa
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedOct 9, 2012 to Jan 28, 2015 · Melville, Ny
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Oct 11, 2012 · Spring, Tx
- C•••• I••••••••• S••••••• C•••• formerApr 6, 2010 to Oct 1, 2012 · Houston, Tx
- W•••• F•••• I••••••••• L•• unclassifiedNov 28, 2007 to Jan 13, 2010 · The Woodlands, Tx
- C•••••• O•• A•••••••• L•• to W•••• F•••• A•••••••left Apr 5, 2018, registered Apr 4, 2018 (-1 days) · Affiliated broker-dealer or bank to wirehouse
- C•••••• O•• F•••••••• A••••••• L•• to C•••••• O•• A•••••••• L••left Jan 28, 2015, registered Jan 28, 2015 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to C•••••• O•• F•••••••• A••••••• L••left Oct 11, 2012, registered Oct 9, 2012 (-2 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- W•••• F•••• I••••••••• L•• to C•••• I••••••••• S••••••• C••••left Jan 13, 2010, registered Apr 6, 2010 (83 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address