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•••••• W•••••• R•••
- S•••••• S••••••••• BD affiliated currentsince Mar 10, 2009 · Houston, Tx
- U•• A•••••••• L•• unclassifiedJan 8, 2008 to Feb 20, 2009 · Houston, Tx
- U•• A••••••••• S•••••••• L•• unclassifiedJan 8, 2008 to Feb 20, 2009 · Houston, Tx
- S••••••• G•••• C•••••• unclassifiedMay 13, 2005 to Jan 15, 2008 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseApr 12, 2001 to May 27, 2005 · Houston, Tx
- U•• A•••••••• L•• to U•• A••••••••• S•••••••• L••left Feb 20, 2009, registered Jan 8, 2008 (-409 days) · Other
- U•• A••••••••• S•••••••• L•• to S•••••• S•••••••••left Feb 20, 2009, registered Mar 10, 2009 (18 days) · Other
- S••••••• G•••• C•••••• to U•• A•••••••• L••left Jan 15, 2008, registered Jan 8, 2008 (-7 days) · Other
- U•• F•••••••• S••••••• I••• to S••••••• G•••• C••••••left May 27, 2005, registered May 13, 2005 (-14 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address