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.
A•••••• J••••• L••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Feb 4, 2020 · Surfside Beach, Tx
- T•••• R••••••••• A••••••• L•• mixed wealthAug 5, 2016 to Feb 18, 2020 · Fulshear, Tx
- L•• F•••••••• L•• BD affiliatedMay 31, 2012 to Aug 15, 2016 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 21, 2002 to Jun 1, 2012 · Houston, Tx
- M••••• S•••••• D• I••• unclassifiedNov 19, 2001 to Oct 24, 2002 · Houston, Tx
- T•••• R••••••••• A••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Feb 18, 2020, registered Feb 4, 2020 (-14 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to T•••• R••••••••• A••••••• L••left Aug 15, 2016, registered Aug 5, 2016 (-10 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Jun 1, 2012, registered May 31, 2012 (-1 days) · Other
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 24, 2002, registered Nov 21, 2002 (28 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address