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.
- T••• F•••••••• independent RIA currentsince Oct 4, 2010 · Bellaire, Tx
- W•••• E••••• G••••• I••• BD affiliatedOct 30, 2018 to Jun 3, 2019 · Bellaire, Tx
- E•••••••• A•••••••• L•• national BDJun 1, 2005 to Mar 18, 2016 · New York, Ny
- M••• S••••••••• C••••••••• unclassifiedMay 29, 1996 to Jun 1, 2005 · Houston, Tx
- W•••• E••••• G••••• I••• to no registered destinationleft Jun 3, 2019 · Departure, no registered destination
- E•••••••• A•••••••• L•• to T••• F••••••••left Mar 18, 2016, registered Oct 4, 2010 (-1992 days) · Other
- M••• S••••••••• C••••••••• to E•••••••• A•••••••• L••left Jun 1, 2005, registered Jun 1, 2005 (0 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address