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••••• J•••• national BD currentsince Dec 20, 2019 · Tempe, Az
- N••• F•••••••• G••••• I••• formerNov 23, 2015 to Nov 15, 2019 · Houston, Tx
- V•••• F•••••••• A•••••••• I••• BD affiliatedDec 22, 2014 to Nov 25, 2015 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 31, 2014 to Sep 3, 2014 · Sugar Land, Tx
- N••• F•••••••• G••••• I••• to E••••• J••••left Nov 15, 2019, registered Dec 20, 2019 (35 days) · Affiliated broker-dealer or bank to another
- V•••• F•••••••• A•••••••• I••• to N••• F•••••••• G••••• I•••left Nov 25, 2015, registered Nov 23, 2015 (-2 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V•••• F•••••••• A•••••••• I•••left Sep 3, 2014, registered Dec 22, 2014 (110 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address