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 May 7, 2024 · Kingwood, Tx
- T•••••••• I••••••••• M••••••••• I•• asset managerSep 30, 2020 to Oct 24, 2022 · Houston, Tx
- I•••••• A•••••••• I••• asset managerJan 29, 2015 to Sep 3, 2020 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseApr 25, 2014 to Nov 7, 2014 · The Woodlands, Tx
- T•••••••• I••••••••• M••••••••• I•• to E••••• J••••left Oct 24, 2022, registered May 7, 2024 (561 days) · Other
- I•••••• A•••••••• I••• to T•••••••• I••••••••• M••••••••• I••left Sep 3, 2020, registered Sep 30, 2020 (27 days) · Other
- U•• F•••••••• S••••••• I••• to I•••••• A•••••••• I•••left Nov 7, 2014, registered Jan 29, 2015 (83 days) · Other
- B•••• L•• T••••••• left T•••••••• I••••••••• M••••••••• I•• for E••••• J•••• (registered 2024-05-07)Oct 24, 2022 · Advisor changed firm · fact
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address