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.
R•••••• J••••• M•••••
- S•••••• S••••••••• BD affiliated currentsince Feb 2, 2009 · Houston, Tx
- U•• S•••••••• L•• unclassifiedOct 16, 2007 to Dec 31, 2008 · Houston, Tx
- U•• A•••••••• L•• unclassifiedOct 16, 2007 to Dec 31, 2008 · Houston, Tx
- U•• A••••••••• S•••••••• L•• unclassifiedOct 16, 2007 to Dec 31, 2008 · Houston, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Oct 29, 2007 · Austin, Tx
- C••••••• I••••••••• S••••••• unclassifiedSep 7, 2006 to May 29, 2007 · Austin, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 18, 1995 to Sep 7, 2006 · Austin, Tx
- U•• S•••••••• L•• to U•• A••••••••• S•••••••• L••left Dec 31, 2008, registered Oct 16, 2007 (-442 days) · Other
- U•• A•••••••• L•• to S•••••• S•••••••••left Dec 31, 2008, registered Feb 2, 2009 (33 days) · Other
- U•• A••••••••• S•••••••• L•• to U•• A•••••••• L••left Dec 31, 2008, registered Oct 16, 2007 (-442 days) · Other
- C•••••••• G••••• M•••••• I••• to U•• S•••••••• L••left Oct 29, 2007, registered Oct 16, 2007 (-13 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to C••••••• I••••••••• S•••••••left Sep 7, 2006, registered Sep 7, 2006 (0 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address