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.
T••••••• S••••• E••••
- O••••••• A••••••• S••••••• L•• independent RIA currentsince Apr 28, 2023 · Kingwood, Tx
- U• 1•• W••••• M••••••••• state registered currentsince Dec 10, 2007 · Kingwood, Tx
- I•••••••• A•••••••• L•• BD affiliatedSep 7, 2007 to Oct 24, 2007 · Urbandale, Ia
- C•••• C•••••• S••••••••• L••• formerJul 31, 2003 to Sep 18, 2007 · Houston, Tx
- P••••••••• S••••••••• I••• unclassifiedApr 30, 2003 to Aug 5, 2003 · Houston, Tx
- I•••••••• A•••••••• L•• to U• 1•• W••••• M•••••••••left Oct 24, 2007, registered Dec 10, 2007 (47 days) · Other
- C•••• C•••••• S••••••••• L••• to I•••••••• A•••••••• L••left Sep 18, 2007, registered Sep 7, 2007 (-11 days) · Other
- P••••••••• S••••••••• I••• to C•••• C•••••• S••••••••• L•••left Aug 5, 2003, registered Jul 31, 2003 (-5 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
- STATE REGISTEREDderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address