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.
C••• D•••• L••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 16, 2023 · Houston, Tx
- L•• F•••••••• L•• BD affiliatedJul 14, 2017 to Nov 29, 2023 · Houston, Tx
- N••• F•••••••• G••••• I••• formerSep 9, 2008 to Jul 17, 2017 · Houston, Tx
- W•••• C••••• S••••••••• I••• state registeredAug 11, 2008 to Sep 10, 2008 · Euless, Tx
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Nov 29, 2023, registered Nov 16, 2023 (-13 days) · Affiliated broker-dealer or bank to another
- N••• F•••••••• G••••• I••• to L•• F•••••••• L••left Jul 17, 2017, registered Jul 14, 2017 (-3 days) · Other
- W•••• C••••• S••••••••• I••• to N••• F•••••••• G••••• I•••left Sep 10, 2008, registered Sep 9, 2008 (-1 days) · Other
- C••• D•••• L•••• left L•• F•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-11-16)Nov 29, 2023 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address