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.
N••••••• M••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Aug 26, 2019 · Houston, Tx
- C••••• I••••••••• A••••••• L•• BD affiliatedJul 28, 2014 to Aug 7, 2019 · Sugar Land, Tx
- H•••••• W•••••• I••••••••• S••••••• I••• independent RIAAug 1, 2012 to Jul 8, 2014 · Baton Rouge, La
- C••••• I••••••••• A••••••• L•• to J••• M••••• S••••••••• L••left Aug 7, 2019, registered Aug 26, 2019 (19 days) · Affiliated broker-dealer or bank to wirehouse
- H•••••• W•••••• I••••••••• S••••••• I••• to C••••• I••••••••• A••••••• L••left Jul 8, 2014, registered Jul 28, 2014 (20 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
- Wirehousederived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address