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.
R••••• C•••••• P••••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 15, 2016 · La Porte, Tx
- W••••••• W••••• A•••••••• I••• independent RIAMar 31, 2006 to Aug 15, 2016 · La Porte, Tx
- U•• F•••••••• S••••••• I••• wirehouseApr 5, 1994 to Apr 27, 2006 · Houston, Tx
- W••••••• W••••• A•••••••• I••• to L•• F•••••••• L••left Aug 15, 2016, registered Aug 15, 2016 (0 days) · Other · moved with a team
- U•• F•••••••• S••••••• I••• to W••••••• W••••• A•••••••• I•••left Apr 27, 2006, registered Mar 31, 2006 (-27 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