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.
J•••• L•••••• W•••••
- F••••••• C•••••• M••••••••• I•• independent RIA currentsince Feb 6, 2012 · Houston, Tx
- S••••••• E••••• A•••••••• I••• unclassifiedJan 29, 2010 to Jan 24, 2012 · Houston, Tx
- S••••••• E••••• A•••••••• I••• unclassifiedMay 4, 2006 to Dec 31, 2009 · Houston, Tx
- L••••••••• C•••••• M••••••••• unclassifiedJan 16, 2003 to Jul 19, 2006 · Houston, Tx
- C•••••• S••••• • C••• I••• national BDSep 1, 1993 to Aug 21, 2002 · Sugar Land, Tx
- S••••••• E••••• A•••••••• I••• to F••••••• C•••••• M••••••••• I••left Jan 24, 2012, registered Feb 6, 2012 (13 days) · Other
- L••••••••• C•••••• M••••••••• to S••••••• E••••• A•••••••• I•••left Jul 19, 2006, registered May 4, 2006 (-76 days) · Other
- C•••••• S••••• • C••• I••• to L••••••••• C•••••• M•••••••••left Aug 21, 2002, registered Jan 16, 2003 (148 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