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.
W•••••• M•••• S•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 22, 2018 · Pensacola, Fl
- L•• F•••••••• L•• BD affiliatedMay 31, 2016 to Nov 5, 2018 · Houston, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerOct 3, 2011 to May 31, 2016 · Kingwood, Tx
- R•••••• J•••• • A••••••••• I••• national BDJun 22, 2010 to Aug 9, 2011 · Destin, Fl
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Nov 5, 2018, registered Oct 22, 2018 (-14 days) · RIA to affiliated broker-dealer or bank
- P•• M•••••• A•••••• S••••••••• I••• to L•• F•••••••• L••left May 31, 2016, registered May 31, 2016 (0 days) · Other
- R•••••• J•••• • A••••••••• I••• to P•• M•••••• A•••••• S••••••••• I•••left Aug 9, 2011, registered Oct 3, 2011 (55 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