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.
C••••• L••••• R•••••
- H•••••• T••••••• • K•••• L•• independent RIA currentsince Mar 17, 2010 · Houston, Tx
- W••••• D••••••••• S••••••••• I••••••••• A•••••••• I••• state registeredJan 13, 2012 to Oct 29, 2021 · Houston, Tx
- W••••• D••••••••• S••••••••• I••••••••• A•••••••• I••• state registeredMay 3, 2010 to Dec 31, 2011
- U•• F•••••••• S••••••• I••• wirehouseAug 24, 1999 to Jul 11, 2003 · Houston, Tx
- W••••• D••••••••• S••••••••• I••••••••• A•••••••• I••• to no registered destinationleft Oct 29, 2021 · Departure, no registered destination
- U•• F•••••••• S••••••• I••• to H•••••• T••••••• • K•••• L••left Jul 11, 2003, registered Mar 17, 2010 (2441 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address