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.
D•• E••••• S••••••
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Dec 10, 2014 · Houston, Tx
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedAug 1, 2013 to Dec 26, 2014 · Houston, Tx
- G••••• W••••• M••••••••• I••• BD affiliatedApr 14, 2011 to Aug 1, 2013 · Houston, Tx
- N••• F•••••••• G••••• I••• formerOct 16, 2006 to Apr 18, 2011 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseSep 30, 2005 to Aug 10, 2006 · Houston, Tx
- C•••• I••••••••• S••••••• C•••• formerOct 18, 2004 to Oct 4, 2005 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 16, 1998 to Sep 8, 2004 · Houston, Tx
- C•••••••• I••••••••• R••••••• A•••••••• I••• to I••••••••• F•••••••• G••••• L••left Dec 26, 2014, registered Dec 10, 2014 (-16 days) · Other
- G••••• W••••• M••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Aug 1, 2013, registered Aug 1, 2013 (0 days) · Other
- N••• F•••••••• G••••• I••• to G••••• W••••• M••••••••• I•••left Apr 18, 2011, registered Apr 14, 2011 (-4 days) · Other
- U•• F•••••••• S••••••• I••• to N••• F•••••••• G••••• I•••left Aug 10, 2006, registered Oct 16, 2006 (67 days) · Other
- C•••• I••••••••• S••••••• C•••• to U•• F•••••••• S••••••• I•••left Oct 4, 2005, registered Sep 30, 2005 (-4 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••left Sep 8, 2004, registered Oct 18, 2004 (40 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address