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.
G••• D••••• K•••••
- W••••• A••••••••• L•• state registered currentsince Oct 24, 2017 · Missouri City, Tx
- G••••••• W••••• M••••••••• BD affiliatedApr 20, 2015 to Aug 7, 2017 · West Columbia, Tx
- G••••••• A•••••••• L•• independent RIADec 2, 2013 to Feb 24, 2015 · West Columbia, Tx
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMay 23, 2011 to Dec 13, 2013 · West Columbia, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedMay 26, 2010 to May 17, 2011 · Las Vegas, Nv
- Q•• F•••••••• L•• unclassifiedJan 20, 2009 to Mar 3, 2010 · Houston, Tx
- V••• F•••••••• A•••••••• I••• BD affiliatedMar 16, 2005 to Dec 8, 2008 · Houston, Tx
- P••• A••••• S••••••••• L•• BD affiliatedMay 3, 1999 to Sep 28, 2004 · Houston, Tx
- G••••••• W••••• M••••••••• to W••••• A••••••••• L••left Aug 7, 2017, registered Oct 24, 2017 (78 days) · Other
- G••••••• A•••••••• L•• to G••••••• W••••• M•••••••••left Feb 24, 2015, registered Apr 20, 2015 (55 days) · Other · moved with a team
- C•••••••• I••••••••• R••••••• A•••••••• I••• to G••••••• A•••••••• L••left Dec 13, 2013, registered Dec 2, 2013 (-11 days) · Other
- M•• I•••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left May 17, 2011, registered May 23, 2011 (6 days) · Other
- Q•• F•••••••• L•• to M•• I•••••••• S•••••••• L••left Mar 3, 2010, registered May 26, 2010 (84 days) · Other
- V••• F•••••••• A•••••••• I••• to Q•• F•••••••• L••left Dec 8, 2008, registered Jan 20, 2009 (43 days) · Other
- P••• A••••• S••••••••• L•• to V••• F•••••••• A•••••••• I•••left Sep 28, 2004, registered Mar 16, 2005 (169 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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address