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•••••• E•••••
- V•••••• A•••• M••••••••• I••• state registered currentsince Dec 6, 2018 · Saint Louis, Mo
- R•••• I••••••••• A••••••• L•• BD affiliatedJan 25, 2018 to Jan 26, 2018 · Friendswood, Tx
- M••••• S•••••• wirehouseJul 26, 2017 to Jan 19, 2018 · Houston, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Jul 12, 2017 · Houston, Tx
- M•• F•••••••• S•••••••• I••• formerFeb 24, 2016 to Mar 25, 2017 · Houston, Tx
- R•••• I••••••••• A••••••• L•• to V•••••• A•••• M••••••••• I•••left Jan 26, 2018, registered Dec 6, 2018 (314 days) · Other
- M••••• S•••••• to R•••• I••••••••• A••••••• L••left Jan 19, 2018, registered Jan 25, 2018 (6 days) · Other
- M•• I•••••••• S•••••••• L•• to M••••• S••••••left Jul 12, 2017, registered Jul 26, 2017 (14 days) · Other
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
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
- STATE REGISTEREDderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address