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•••••••• N••• H••••
- E•••• 3• F••••••••• L•• independent RIA currentsince Apr 11, 2024 · Midland, Tx
- S••••• C•••••• P•••••••• L•• formerMay 4, 2012 to Oct 30, 2015 · Midland, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 15, 2005 to May 8, 2012 · Midland, Tx
- I••••• F•••••••• C••••••••• formerJan 21, 2004 to Feb 15, 2005 · Odessa, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 7, 1997 to Jan 23, 2004 · Lubbock, Tx
- S••••• C•••••• P•••••••• L•• to E•••• 3• F••••••••• L••left Oct 30, 2015, registered Apr 11, 2024 (3086 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••••• C•••••• P•••••••• L••left May 8, 2012, registered May 4, 2012 (-4 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- I••••• F•••••••• C••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 15, 2005, registered Feb 15, 2005 (0 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••• F•••••••• C•••••••••left Jan 23, 2004, registered Jan 21, 2004 (-2 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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address