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.
D•••• P••••• S••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Feb 27, 2023 · Houston, Tx
- J••• M••••• S••••••••• L•• wirehouseFeb 25, 2021 to Feb 26, 2023 · Houston, Tx
- W•••• F•••• A••••••• wirehouseJun 7, 2017 to Nov 3, 2020 · Minneapolis, Mn
- P•• M•••••• A•••••• S••••••••• I••• formerDec 16, 2014 to May 31, 2017 · Houston, Tx
- D••••••• B••• S••••••••• I••• no RAUMAug 30, 2013 to Nov 5, 2014 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 25, 2013 to Aug 20, 2013 · Houston, Tx
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 26, 2023, registered Feb 27, 2023 (1 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Nov 3, 2020, registered Feb 25, 2021 (114 days) · Wirehouse to wirehouse
- P•• M•••••• A•••••• S••••••••• I••• to W•••• F•••• A•••••••left May 31, 2017, registered Jun 7, 2017 (7 days) · Other
- D••••••• B••• S••••••••• I••• to P•• M•••••• A•••••• S••••••••• I•••left Nov 5, 2014, registered Dec 16, 2014 (41 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to D••••••• B••• S••••••••• I•••left Aug 20, 2013, registered Aug 30, 2013 (10 days) · Other
- D•••• P••••• S•••••• left J••• M••••• S••••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-02-27)Feb 26, 2023 · Advisor changed firm · fact
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address