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••••• N••••• B••••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Jul 15, 2022 · Houston, Tx
- C••• P•••••• A•••••••• L•• formerJul 15, 2022 to Jun 30, 2010 · Denver, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 19, 2013 to Nov 30, 2017 · Houston, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to May 2, 2013 · Houston, Tx
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Houston, Tx
- M••••• S•••••• D• I••• unclassifiedApr 26, 2006 to Apr 2, 2007 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••• P•••••• A•••••••• L••left Nov 30, 2017, registered Jul 15, 2022 (1688 days) · Other
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 2, 2013, registered Apr 19, 2013 (-13 days) · Wirehouse to wirehouse
- C••• P•••••• A•••••••• L•• to C•••••••• G••••• M•••••• I•••left Jun 30, 2010, registered Jul 15, 2022 (4398 days) · corporate re-registration, not a move
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address