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.
F•••••• W•••••• R•••
- L•• F•••••••• L•• BD affiliated currentsince Nov 1, 2023 · Lake Jackson, Tx
- H••••••• F•••• asset managerMar 15, 2021 to Nov 3, 2023 · Pearland, Tx
- N•••••••• B••••• B• L•• no RAUMSep 5, 2019 to Mar 9, 2021 · New York, Ny
- C••••• C••••••• L•• formerJul 1, 2014 to Sep 15, 2015 · Denver, Co
- H••••••• F•••• to L•• F•••••••• L••left Nov 3, 2023, registered Nov 1, 2023 (-2 days) · Other
- N•••••••• B••••• B• L•• to H••••••• F••••left Mar 9, 2021, registered Mar 15, 2021 (6 days) · Other
- C••••• C••••••• L•• to N•••••••• B••••• B• L••left Sep 15, 2015, registered Sep 5, 2019 (1451 days) · Other
- F•••••• W•••••• R••• left H••••••• F•••• for L•• F•••••••• L•• (registered 2023-11-01)Nov 3, 2023 · Advisor changed firm · fact
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address