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.
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- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Oct 9, 2006 · Kingwood, Tx
- A••••••• A••••••• S••••••• formerJul 13, 2005 to Feb 7, 2006 · Dakota Dunes, Sd
- C•••• I••••••••• S••••••• C•••• formerMar 1, 1999 to Sep 17, 2003 · Houston, Tx
- A••••••• A••••••• S••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 7, 2006, registered Oct 9, 2006 (244 days) · Other
- C•••• I••••••••• S••••••• C•••• to A••••••• A••••••• S•••••••left Sep 17, 2003, registered Jul 13, 2005 (665 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
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address