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.
T•••• L•• W••••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 30, 2020 · Kingwood, Tx
- I••••• F•••••••• independent RIAFeb 12, 2016 to Sep 30, 2020 · Houston, Tx
- M••••• K••••• • C••••••• L•• formerMay 17, 1996 to Mar 31, 2003 · Houston, Tx
- I••••• F•••••••• to L•• F•••••••• L••left Sep 30, 2020, registered Sep 30, 2020 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
- M••••• K••••• • C••••••• L•• to I••••• F••••••••left Mar 31, 2003, registered Feb 12, 2016 (4701 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