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.
M•••••• C••••••• D•••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Dec 22, 2015 · Houston, Tx
- D••••••• B••• S••••••••• I••• no RAUMAug 30, 2013 to Dec 22, 2015 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 9, 2007 to Sep 3, 2013 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseNov 4, 2002 to Nov 21, 2007 · Houston, Tx
- D••••••• B••• S••••••••• I••• to U•• F•••••••• S••••••• I•••left Dec 22, 2015, registered Dec 22, 2015 (0 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to D••••••• B••• S••••••••• I•••left Sep 3, 2013, registered Aug 30, 2013 (-4 days) · Other
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 21, 2007, registered Nov 9, 2007 (-12 days) · Wirehouse to wirehouse
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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address