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•••• H••••• Y••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Oct 9, 2015 · Stamford, Ct
- R••••• W• B•••• • C•• I••••••••• mixed wealthJul 18, 2014 to Oct 2, 2015 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseJan 14, 2010 to Jun 25, 2014 · Sugar Land, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 4, 2010 · Houston, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 7, 2006 to Jun 1, 2009 · Houston, Tx
- R••••• W• B•••• • C•• I••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 2, 2015, registered Oct 9, 2015 (7 days) · Other
- U•• F•••••••• S••••••• I••• to R••••• W• B•••• • C•• I•••••••••left Jun 25, 2014, registered Jul 18, 2014 (23 days) · Other
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Feb 4, 2010, registered Jan 14, 2010 (-21 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address