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.
L••••• D•••• B•••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 16, 2018 · Friendswood, Tx
- O•••• F•• I••• formerNov 7, 2016 to Aug 20, 2018 · Friendswood, Tx
- W••••••• W••••• A•••••••• I••• independent RIAMay 7, 2015 to Nov 7, 2016 · Friendswood, Tx
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJan 8, 2014 to Apr 24, 2015 · Friendswood, Tx
- L•• F•••••••• L•• BD affiliatedJan 3, 2000 to Dec 31, 2013 · Montgomery, Tx
- O•••• F•• I••• to L•• F•••••••• L••left Aug 20, 2018, registered Aug 16, 2018 (-4 days) · Affiliated broker-dealer or bank to independent RIA
- W••••••• W••••• A•••••••• I••• to O•••• F•• I•••left Nov 7, 2016, registered Nov 7, 2016 (0 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to W••••••• W••••• A•••••••• I•••left Apr 24, 2015, registered May 7, 2015 (13 days) · Other
- L•• F•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 31, 2013, registered Jan 8, 2014 (8 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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address