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•••• A••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Apr 18, 2022 · Houston, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 12, 2021 to Nov 25, 2021 · Houston, Tx
- T• A••••••••• I••• formerApr 12, 2021 to Nov 25, 2021 · Houston, Tx
- L•• F•••••••• L•• BD affiliatedJan 25, 2021 to Apr 5, 2021 · Houston, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 9, 2019 to Dec 31, 2020 · Houston, Tx
- T• A••••••••• I••• formerJul 9, 2019 to Jan 11, 2021 · Houston, Tx
- M••••• S•••••• wirehouseOct 27, 2017 to Jul 5, 2019 · Houston, Tx
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Nov 25, 2021, registered Apr 12, 2021 (-227 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Nov 25, 2021, registered Apr 12, 2021 (-227 days) · Other
- L•• F•••••••• L•• to T• A••••••••• I•••left Apr 5, 2021, registered Apr 12, 2021 (7 days) · Other
- T• A••••••••• I••• to L•• F•••••••• L••left Jan 11, 2021, registered Jan 25, 2021 (14 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Jul 9, 2019 (-541 days) · corporate re-registration, not a move
- M••••• S•••••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 5, 2019, registered Jul 9, 2019 (4 days) · Wirehouse to independent RIA
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address