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.
T•••••• M••• H•••••••
- B• R•••• W••••• A•••••••• I••• BD affiliated currentsince Jan 12, 2018 · The Woodlands, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDOct 5, 2009 to Jan 17, 2018 · Houston, Tx
- C•••••• L•• independent RIAOct 2, 2002 to Jul 10, 2003 · Houston, Tx
- A••••••••• A•••••• S•••••••• I••• unclassifiedJul 13, 1994 to Oct 5, 2009 · Houston, Tx
- A••••••••• F•••••••• S•••••••• L•• to B• R•••• W••••• A•••••••• I•••left Jan 17, 2018, registered Jan 12, 2018 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
- A••••••••• A•••••• S•••••••• I••• to C•••••• L••left Oct 5, 2009, registered Oct 2, 2002 (-2560 days) · Other
- C•••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jul 10, 2003, registered Oct 5, 2009 (2279 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address