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.
W•••••• C•••••••• H•••••
- S•• S•••••• C•••••• A••••••• L•• state registered currentsince Dec 7, 2017 · Houston, Tx
- W••••• L•• formerDec 19, 2014 to Dec 23, 2015 · Houston, Tx
- P••••• I••••••••• A•••••••• I••• formerMay 3, 2012 to Dec 21, 2012 · Tampa, Fl
- C••••• A••••••• I••••••••• unclassifiedFeb 9, 2010 to Dec 31, 2011 · Houston, Tx
- C••••• A••••••• I••••••••• unclassifiedSep 10, 2009 to Dec 31, 2009 · Houston, Tx
- S•• C•••••• A••••••• L•• institutionalMar 13, 2003 to Aug 13, 2003 · Houston, Tx
- W••••• L•• to S•• S•••••• C•••••• A••••••• L••left Dec 23, 2015, registered Dec 7, 2017 (715 days) · Other
- P••••• I••••••••• A•••••••• I••• to W••••• L••left Dec 21, 2012, registered Dec 19, 2014 (728 days) · Other
- C••••• A••••••• I••••••••• to P••••• I••••••••• A•••••••• I•••left Dec 31, 2011, registered May 3, 2012 (124 days) · Other
- S•• C•••••• A••••••• L•• to C••••• A••••••• I•••••••••left Aug 13, 2003, registered Sep 10, 2009 (2220 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address