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•••• S•••• C•••••
- W••••••• W••••• A•••••••• I••• independent RIA currentsince Mar 26, 2014 · Houston, Tx
- F•• W••••• A••••••• L•• unclassifiedJul 10, 2008 to Nov 18, 2009 · Carrollton, Tx
- F•••• F•••••••• E••••• C••••••••• formerMar 29, 2007 to Jul 1, 2008 · Sugarland, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJul 23, 2004 to Mar 21, 2007 · Houston, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 9, 2001 to Aug 2, 2004 · Houston, Tx
- F•• W••••• A••••••• L•• to W••••••• W••••• A•••••••• I•••left Nov 18, 2009, registered Mar 26, 2014 (1589 days) · Other
- F•••• F•••••••• E••••• C••••••••• to F•• W••••• A••••••• L••left Jul 1, 2008, registered Jul 10, 2008 (9 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to F•••• F•••••••• E••••• C•••••••••left Mar 21, 2007, registered Mar 29, 2007 (8 days) · Other
- C•••••••• G••••• M•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Aug 2, 2004, registered Jul 23, 2004 (-10 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address