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.
R•••• S•••••• S••••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Sep 17, 2021 · Houston, Tx
- W•••• F•••• A••••••• wirehouseMar 30, 2012 to Sep 22, 2021 · Houston, Tx
- C•••• I••••••••• S••••••• C•••• formerApr 8, 2010 to Mar 30, 2012 · Houston, Tx
- P••• A••••• S••••••••• L•• BD affiliatedOct 29, 2009 to Mar 10, 2010 · Houston, Tx
- W•••• F•••• A••••••• wirehouseSep 27, 2007 to Sep 18, 2009 · Houston, Tx
- W•••• F•••• I••••••••• L•• unclassifiedApr 25, 2007 to Sep 11, 2007 · Houston, Tx
- W•••• F•••• A••••••• to M•• I•••••••• S•••••••• L••left Sep 22, 2021, registered Sep 17, 2021 (-5 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••left Mar 30, 2012, registered Mar 30, 2012 (0 days) · Other
- P••• A••••• S••••••••• L•• to C•••• I••••••••• S••••••• C••••left Mar 10, 2010, registered Apr 8, 2010 (29 days) · Other
- W•••• F•••• A••••••• to P••• A••••• S••••••••• L••left Sep 18, 2009, registered Oct 29, 2009 (41 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Sep 11, 2007, registered Sep 27, 2007 (16 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address