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.
R••••• L••••••• B••••
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Houston, Tx
- P•••• S••••••••• L•• no RAUMJun 24, 2021 to Nov 14, 2024 · Houston, Tx
- W•••••• • R••• formerJan 13, 2017 to Jun 15, 2021 · Humble, Tx
- A•••••• A••••••• S••••••• formerJan 11, 2013 to Jan 20, 2017 · Humble, Tx
- I••••••••• P••••••••• I••• formerSep 8, 2009 to Jun 2, 2011 · Webster, Tx
- A••••••••• A•••••• S•••••••• I••• unclassifiedApr 14, 2009 to Jul 30, 2009 · Detroit, Mi
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 1, 1995 to Jul 28, 2009 · Minneapolis, Mn
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- W•••••• • R••• to P•••• S••••••••• L••left Jun 15, 2021, registered Jun 24, 2021 (9 days) · Affiliated broker-dealer or bank to another
- A•••••• A••••••• S••••••• to W•••••• • R•••left Jan 20, 2017, registered Jan 13, 2017 (-7 days) · Other
- I••••••••• P••••••••• I••• to A•••••• A••••••• S•••••••left Jun 2, 2011, registered Jan 11, 2013 (589 days) · Other
- A••••••••• A•••••• S•••••••• I••• to I••••••••• P••••••••• I•••left Jul 30, 2009, registered Sep 8, 2009 (40 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to A••••••••• A•••••• S•••••••• I•••left Jul 28, 2009, registered Apr 14, 2009 (-105 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