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.
- M•••••• BD affiliated currentsince Jan 7, 2019 · Houston, Tx
- P•••••• W••••• M••••••••• I••• formerApr 16, 2007 to Feb 4, 2019 · Houston, Tx
- L•••••••• F•••••••• A•••••••• I••• unclassifiedJan 28, 2004 to Apr 10, 2007 · Houston, Tx
- L•••••••• A•••• M••••••••• I••• formerJan 23, 2004 to Dec 31, 2012 · Houston, Tx
- L•••••••• F•••••••• S•••••••• I••• unclassifiedApr 23, 2002 to Jul 3, 2012 · Houston, Tx
- P•••••• W••••• M••••••••• I••• to M••••••left Feb 4, 2019, registered Jan 7, 2019 (-28 days) · RIA to RIA · moved with a team
- L•••••••• A•••• M••••••••• I••• to L•••••••• F•••••••• A•••••••• I•••left Dec 31, 2012, registered Jan 28, 2004 (-3260 days) · Other
- L•••••••• F•••••••• S•••••••• I••• to L•••••••• A•••• M••••••••• I•••left Jul 3, 2012, registered Jan 23, 2004 (-3084 days) · Other
- L•••••••• F•••••••• A•••••••• I••• to P•••••• W••••• M••••••••• I•••left Apr 10, 2007, registered Apr 16, 2007 (6 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address