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.
F•• Y• W•••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Dec 10, 2021 · Sugar Land, Tx
- P•• W••••• M••••••••• BD affiliatedAug 19, 2021 to Dec 15, 2021 · Houston, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerApr 12, 2018 to Aug 17, 2021 · Houston, Tx
- W•••• F•••• A••••••• wirehouseApr 26, 2012 to Nov 18, 2016 · Rio Rancho, Nm
- P•• W••••• M••••••••• to C••••• I••••••••• A••••••• L••left Dec 15, 2021, registered Dec 10, 2021 (-5 days) · Affiliated broker-dealer or bank to another
- P•• M•••••• A•••••• S••••••••• I••• to P•• W••••• M•••••••••left Aug 17, 2021, registered Aug 19, 2021 (2 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to P•• M•••••• A•••••• S••••••••• I•••left Nov 18, 2016, registered Apr 12, 2018 (510 days) · Wirehouse to affiliated broker-dealer or bank
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address