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.
S•••••• H••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 5, 2020 · Houston, Tx
- S••••••• F•••••••• S•••••••• I••• formerFeb 15, 2018 to Sep 30, 2020 · Houston, Tx
- P•••• S••••••••• L•• no RAUMFeb 1, 2017 to Feb 5, 2018 · Friendswood, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 22, 1999 to Oct 21, 2002 · Houston, Tx
- S••••••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Sep 30, 2020, registered Oct 5, 2020 (5 days) · Affiliated broker-dealer or bank to another
- P•••• S••••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Feb 5, 2018, registered Feb 15, 2018 (10 days) · Other
- C•••••••• G••••• M•••••• I••• to P•••• S••••••••• L••left Oct 21, 2002, registered Feb 1, 2017 (5217 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address