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.
E•••••• A•••••• T•••••
- M••••• S•••••• wirehouse currentsince Jan 22, 2021 · Houston, Tx
- V••••••••• I••• I••• formerAug 13, 2012 to Jan 27, 2021 · Miami, Fl
- V••••••••• I••• I••• formerMay 18, 2012 to Dec 31, 2014 · Miami, Fl
- U•• F•••••••• S••••••• I••• wirehouseMay 23, 2011 to Jun 22, 2011 · Houston, Tx
- A•••••• W••••• M••••••••• I••• independent RIAOct 1, 2009 to Jun 2, 2011 · Houston, Tx
- V••••••••• I••• I••• to M••••• S••••••left Jan 27, 2021, registered Jan 22, 2021 (-5 days) · RIA to wirehouse
- U•• F•••••••• S••••••• I••• to V••••••••• I••• I•••left Jun 22, 2011, registered May 18, 2012 (331 days) · Other
- A•••••• W••••• M••••••••• I••• to U•• F•••••••• S••••••• I•••left Jun 2, 2011, registered May 23, 2011 (-10 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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address