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••••••• A••• S•••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Jun 17, 2021 · Springfield, Ma
- R•• C••••••• L•• independent RIANov 18, 2020 to Jun 7, 2021 · Suite 250, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Nov 9, 2020 · Richmond, Tx
- M•• F•••••••• S•••••••• I••• formerDec 15, 2010 to Mar 25, 2017 · Missouri City, Tx
- N••• F•••••••• G••••• I••• formerDec 14, 2010 to Dec 17, 2010 · Houston, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDSep 6, 2006 to Nov 29, 2006 · Houston, Tx
- R•• C••••••• L•• to M•• I•••••••• S•••••••• L••left Jun 7, 2021, registered Jun 17, 2021 (10 days) · RIA to affiliated broker-dealer or bank
- M•• I•••••••• S•••••••• L•• to R•• C••••••• L••left Nov 9, 2020, registered Nov 18, 2020 (9 days) · Affiliated broker-dealer or bank to a newly registered adviser
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- N••• F•••••••• G••••• I••• to M•• F•••••••• S•••••••• I•••left Dec 17, 2010, registered Dec 15, 2010 (-2 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to N••• F•••••••• G••••• I•••left Nov 29, 2006, registered Dec 14, 2010 (1476 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address