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•••• B•••• B•••
- T•••••• L••••• P•••••••• L•• independent RIA currentsince Sep 26, 2014 · Houston, Tx
- W•••• F•••• A••••••• wirehouseJul 20, 2012 to Jan 9, 2014 · Houston, Tx
- F•• S••••••••• C••••••••• formerJan 3, 2012 to Jun 22, 2012 · Houston, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerMar 9, 2010 to Jun 19, 2012 · Houston, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedDec 17, 2002 to Oct 21, 2009 · Houston, Tx
- W•••• F•••• A••••••• to T•••••• L••••• P•••••••• L••left Jan 9, 2014, registered Sep 26, 2014 (260 days) · Other
- F•• S••••••••• C••••••••• to W•••• F•••• A•••••••left Jun 22, 2012, registered Jul 20, 2012 (28 days) · Other
- P•• M•••••• A•••••• S••••••••• I••• to F•• S••••••••• C•••••••••left Jun 19, 2012, registered Jan 3, 2012 (-168 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to P•• M•••••• A•••••• S••••••••• I•••left Oct 21, 2009, registered Mar 9, 2010 (139 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address