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.
S••••• M•••• V••••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 21, 2021 · Katy, Tx
- W•••••• • R••• formerFeb 18, 2020 to Jul 21, 2021 · Houston, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDJul 17, 2019 to Jul 30, 2019 · Houston, Tx
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jun 17, 2019 · Houston, Tx
- C•••• I••••••••• S••••••• C•••• formerFeb 25, 2010 to Oct 1, 2012 · Houston, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 23, 2009 · Houston, Tx
- M••••• S•••••• • C•• L•• unclassifiedAug 29, 2008 to Jun 1, 2009 · Houston, Tx
- W•••••• • R••• to L•• F•••••••• L••left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to W•••••• • R•••left Jul 30, 2019, registered Feb 18, 2020 (203 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jun 17, 2019, registered Jul 17, 2019 (30 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to C•••• I••••••••• S••••••• C••••left Nov 23, 2009, registered Feb 25, 2010 (94 days) · Other
- M••••• S•••••• • C•• L•• 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
- 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