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.
D•••• L• E••••• J••
- I••••••••• F••••• O•••••• L•• no RAUM currentsince Sep 17, 2019 · Houston, Tx
- I••••••••• C••••••• L•• independent RIA currentsince Apr 11, 2018 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseSep 19, 2002 to Apr 17, 2018 · New Orleans, La
- U•• F•••••••• S••••••• I••• to I••••••••• C••••••• L••left Apr 17, 2018, registered Apr 11, 2018 (-6 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address