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••••• S•••• B••••••••
- P••• O•• P•••••• W••••• A••••••• independent RIA currentsince May 30, 2018 · Houston, Tx
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Jun 4, 2018 · Houston, Tx
- A• G• E•••••• • S•••• I••• unclassifiedMay 21, 2004 to Jan 1, 2008 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseNov 6, 2001 to Jun 16, 2004 · Sugarland, Tx
- W•••• F•••• A••••••• to P••• O•• P•••••• W••••• A•••••••left Jun 4, 2018, registered May 30, 2018 (-5 days) · Wirehouse to independent RIA
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to A• G• E•••••• • S•••• I•••left Jun 16, 2004, registered May 21, 2004 (-26 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address