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•••••• T••• S••••
- I•••••••• F•••••••• P•••••••• L•• state registered currentsince Oct 30, 2020 · Houston, Tx
- R•• R•••••••• L•• BD affiliatedJun 8, 2017 to Jul 10, 2017 · Houston, Tx
- G•••••• S•••• W••••• S•••••••• L••• BD affiliatedFeb 4, 2015 to Nov 22, 2016 · Houston, Tx
- A•••••••• A•••••••• L•• formerJan 6, 2011 to Mar 31, 2014 · Houston, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 2, 2003 to Jul 8, 2003 · Little Rock, Ar
- R•• R•••••••• L•• to I•••••••• F•••••••• P•••••••• L••left Jul 10, 2017, registered Oct 30, 2020 (1208 days) · Other
- G•••••• S•••• W••••• S•••••••• L••• to R•• R•••••••• L••left Nov 22, 2016, registered Jun 8, 2017 (198 days) · Other
- A•••••••• A•••••••• L•• to G•••••• S•••• W••••• S•••••••• L•••left Mar 31, 2014, registered Feb 4, 2015 (310 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to A•••••••• A•••••••• L••left Jul 8, 2003, registered Jan 6, 2011 (2739 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
- STATE REGISTEREDderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address