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.
E•••••• A•••••
- I•• I••••••••• A•••••••• L•• mixed wealth currentsince Jan 12, 2023 · Mexico Df
- I•• I••••••••• A•••••••• L•• mixed wealthMay 23, 2018 to Dec 31, 2022 · Houston, Tx
- C•••••••• F••••• W••••• A••••••• state registeredJul 22, 2014 to Oct 3, 2018 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 3, 2000 to Mar 20, 2014 · Houston, Tx
- C•••••••• F••••• W••••• A••••••• to I•• I••••••••• A•••••••• L••left Oct 3, 2018, registered May 23, 2018 (-133 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• F••••• W••••• A•••••••left Mar 20, 2014, registered Jul 22, 2014 (124 days) · Wirehouse to a state-registered adviser
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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address