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.
S•••••• L••••••• M••••••••
- E•• F•••••••• A••••••• independent RIA currentsince Jan 12, 2017 · Addison, Tx
- A••••••• A••••••• S••••••• formerOct 6, 2011 to Jan 13, 2017 · Bellaire, Tx
- O••••••••• S••••••••• I••• BD affiliatedNov 15, 2004 to Oct 6, 2011 · Bellaire, Tx
- C••••••• I••••••••• I••• unclassifiedApr 3, 2003 to Nov 1, 2004 · Houston, Tx
- W•••••• • R••• formerJun 10, 1999 to Dec 9, 2002 · Houston, Tx
- A••••••• A••••••• S••••••• to E•• F•••••••• A•••••••left Jan 13, 2017, registered Jan 12, 2017 (-1 days) · Other
- O••••••••• S••••••••• I••• to A••••••• A••••••• S•••••••left Oct 6, 2011, registered Oct 6, 2011 (0 days) · Other
- C••••••• I••••••••• I••• to O••••••••• S••••••••• I•••left Nov 1, 2004, registered Nov 15, 2004 (14 days) · Other
- W•••••• • R••• to C••••••• I••••••••• I•••left Dec 9, 2002, registered Apr 3, 2003 (115 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
- Independent wealth managerderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address