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.
S•••• G••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Aug 4, 2020 · Houston, Tx
- U••• A•••• M••••••••• L•• asset managerMar 4, 2008 to May 20, 2008 · Houston, Tx
- H••••••••• P•••••••• L•• unclassifiedJul 8, 2004 to Apr 2, 2008 · Houston, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedDec 16, 2002 to Jul 7, 2004 · Houston, Tx
- U••• A•••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 20, 2008, registered Aug 4, 2020 (4459 days) · Other
- H••••••••• P•••••••• L•• to U••• A•••• M••••••••• L••left Apr 2, 2008, registered Mar 4, 2008 (-29 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to H••••••••• P•••••••• L••left Jul 7, 2004, registered Jul 8, 2004 (1 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
- Wirehousederived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address