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.
R••••• A••• Y••••
- E••••• J•••• national BD currentsince Mar 23, 2020 · The Woodlands, Tx
- R••••••••• P••••••• O• A•••••• independent RIAJul 15, 2016 to Nov 20, 2019 · The Woodlands, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedApr 6, 2016 to Jun 16, 2016 · Sugar Land, Tx
- I•••••• A•••••••• I••• asset managerApr 17, 2013 to Jul 6, 2015 · Atlanta, Ga
- L•• F•••••••• L•• BD affiliatedMay 4, 2009 to Nov 21, 2012 · Stephenville, Tx
- R••••••••• P••••••• O• A•••••• to E••••• J••••left Nov 20, 2019, registered Mar 23, 2020 (124 days) · RIA to affiliated broker-dealer or bank
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to R••••••••• P••••••• O• A••••••left Jun 16, 2016, registered Jul 15, 2016 (29 days) · Other
- I•••••• A•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jul 6, 2015, registered Apr 6, 2016 (275 days) · Other
- L•• F•••••••• L•• to I•••••• A•••••••• I•••left Nov 21, 2012, registered Apr 17, 2013 (147 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
- National broker-dealer RIAderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address