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.
C••••• A•••••• P••••
- C••••• W••••• A••••••• L•• independent RIA currentsince Jun 18, 2014 · Houston, Tx
- D•••••• A•••••••• L••• independent RIAFeb 7, 2013 to Mar 27, 2014 · Houston, Tx
- C••••• W••••• A••••••• L•• independent RIAMar 9, 2011 to Mar 26, 2013 · Houston, Tx
- S••••••• G•••• C•••••• unclassifiedJul 3, 1997 to Mar 30, 2009 · Houston, Tx
- D•••••• A•••••••• L••• to C••••• W••••• A••••••• L••left Mar 27, 2014, registered Jun 18, 2014 (83 days) · Other
- C••••• W••••• A••••••• L•• to D•••••• A•••••••• L•••left Mar 26, 2013, registered Feb 7, 2013 (-47 days) · Other
- S••••••• G•••• C•••••• to C••••• W••••• A••••••• L••left Mar 30, 2009, registered Mar 9, 2011 (709 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