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.
- M••••• A••••••• independent RIA currentsince Sep 28, 2012 · Houston, Tx
- F•• S••••••••• C••••••••• formerFeb 17, 2012 to Mar 31, 2015 · Atlanta, Ga
- B•• F•••••••• A••••••• BD affiliatedNov 21, 2011 to Feb 17, 2012 · Houston, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerJul 25, 2011 to Nov 23, 2011 · Houston, Tx
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedNov 10, 2006 to May 30, 2008 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 9, 2006 to Oct 30, 2006 · Tucson, Az
- C•••• I••••••••• S••••••• C•••• formerSep 27, 2005 to Feb 8, 2006 · Chicago, Il
- W•••• F•••• I••••••••• L•• unclassifiedNov 22, 2004 to Aug 18, 2005 · Victorville, Ca
- F•• S••••••••• C••••••••• to M••••• A•••••••left Mar 31, 2015, registered Sep 28, 2012 (-914 days) · Other · moved with a team
- B•• F•••••••• A••••••• to F•• S••••••••• C•••••••••left Feb 17, 2012, registered Feb 17, 2012 (0 days) · Other
- P•• M•••••• A•••••• S••••••••• I••• to B•• F•••••••• A•••••••left Nov 23, 2011, registered Nov 21, 2011 (-2 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to P•• M•••••• A•••••• S••••••••• I•••left May 30, 2008, registered Jul 25, 2011 (1151 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•••• F•••••••• S••••••• G••••• I•••left Oct 30, 2006, registered Nov 10, 2006 (11 days) · Other
- C•••• I••••••••• S••••••• C•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 8, 2006, registered Mar 9, 2006 (29 days) · Other
- W•••• F•••• I••••••••• L•• to C•••• I••••••••• S••••••• C••••left Aug 18, 2005, registered Sep 27, 2005 (40 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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address