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•••••• G•••• R••••
- R•••• • G•••••• W••••• M••••••••• independent RIA currentsince Apr 29, 2016 · The Woodlands, Tx
- S•••••• M••••• L•• independent RIAJun 14, 2006 to May 7, 2016 · Houston, Tx
- S•• C•••••• A••••••• L•• institutionalOct 4, 2005 to Dec 31, 2006 · Houston, Tx
- M••••••••• F•••••••• S••••••• L•• formerJan 24, 2003 to Jun 6, 2016 · Houston, Tx
- M••••••••• F•••••••• S••••••• L•• to S•• C•••••• A••••••• L••left Jun 6, 2016, registered Oct 4, 2005 (-3898 days) · Other
- S•••••• M••••• L•• to R•••• • G•••••• W••••• M•••••••••left May 7, 2016, registered Apr 29, 2016 (-8 days) · Other · moved with a team
- S•• C•••••• A••••••• L•• to S•••••• M••••• L••left Dec 31, 2006, registered Jun 14, 2006 (-200 days) · corporate re-registration, not a move
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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address