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.
M•••••• E••••• O••••••
- V•••• F•••••••• A•••••••• I••• BD affiliated currentsince Jul 10, 2014 · Houston, Tx
- N••• F•••••••• G••••• I••• formerMay 14, 2012 to Aug 20, 2013 · Houston, Tx
- S•••••• M••••• L•• independent RIAFeb 12, 2007 to Jul 2, 2010 · Houston, Tx
- A••••••• G•••••• S••••••••• I••••••••• unclassifiedAug 16, 2006 to Feb 9, 2007 · Houston, Tx
- N••• F•••••••• G••••• I••• to V•••• F•••••••• A•••••••• I•••left Aug 20, 2013, registered Jul 10, 2014 (324 days) · Other
- S•••••• M••••• L•• to N••• F•••••••• G••••• I•••left Jul 2, 2010, registered May 14, 2012 (682 days) · Other
- A••••••• G•••••• S••••••••• I••••••••• to S•••••• M••••• L••left Feb 9, 2007, registered Feb 12, 2007 (3 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address