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.
A••••• S•••• C•••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 6, 2012 · Houston, Tx
- S•••••• M••••• L•• independent RIAJun 10, 2010 to Aug 24, 2010 · Houston, Tx
- S•••••••• F••••••••• I••• formerJan 8, 2008 to May 6, 2009 · Houston, Tx
- A••••••• G•••••• S••••••••• I••••••••• unclassifiedMar 20, 2007 to Oct 29, 2008 · Houston, Tx
- S•••••• M••••• L•• to L•• F•••••••• L••left Aug 24, 2010, registered Jun 6, 2012 (652 days) · Other
- S•••••••• F••••••••• I••• to S•••••• M••••• L••left May 6, 2009, registered Jun 10, 2010 (400 days) · Other
- A••••••• G•••••• S••••••••• I••••••••• to S•••••••• F••••••••• I•••left Oct 29, 2008, registered Jan 8, 2008 (-295 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address