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•••••••• W••• P•••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 26, 2019 · Mcqueeney, Tx
- I••••••••• F•••••••• P••••••• BD affiliatedNov 30, 2010 to Jul 30, 2019 · Houston, Tx
- N•• A•••••••• I••• unclassifiedJan 11, 2010 to Dec 1, 2010 · Houston, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 21, 2010 · Houston, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 31, 1993 to Jun 1, 2009 · Houston, Tx
- I••••••••• F•••••••• P••••••• to L•• F•••••••• L••left Jul 30, 2019, registered Jun 26, 2019 (-34 days) · Affiliated broker-dealer or bank to independent RIA
- N•• A•••••••• I••• to I••••••••• F•••••••• P•••••••left Dec 1, 2010, registered Nov 30, 2010 (-1 days) · corporate re-registration, not a move
- M••••• S•••••• to N•• A•••••••• I•••left Jan 21, 2010, registered Jan 11, 2010 (-10 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address