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.
G••••••• A•••• L•••••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Aug 8, 2016 · Houston, Tx
- V• W••••• A••••••• L•• formerOct 25, 2013 to Sep 6, 2016 · Houston, Tx
- S•• I••••••••• I••• unclassifiedAug 2, 2010 to Sep 13, 2016 · Houston, Tx
- L•• F•••••••• L•• BD affiliatedSep 30, 2005 to Nov 2, 2015 · Houston, Tx
- O•••• F•• I••• formerJun 1, 1998 to Oct 24, 2005 · Houston, Tx
- S•• I••••••••• I••• to V• W••••• A••••••• L••left Sep 13, 2016, registered Oct 25, 2013 (-1054 days) · Other
- V• W••••• A••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Sep 6, 2016, registered Aug 8, 2016 (-29 days) · Other
- L•• F•••••••• L•• to S•• I••••••••• I•••left Nov 2, 2015, registered Aug 2, 2010 (-1918 days) · Other
- O•••• F•• I••• to L•• F•••••••• L••left Oct 24, 2005, registered Sep 30, 2005 (-24 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address