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.
- M•• W••••• state registered currentsince Mar 22, 2023 · Houston, Tx
- I•••••••• A•••••••• L•• BD affiliatedMay 16, 2019 to Dec 3, 2021 · Houston, Tx
- P••• A••••• S••••••••• L•• BD affiliatedJan 29, 2019 to Jun 6, 2019 · Houston, Tx
- I•••••••• A•••••••• L•• to M•• W•••••left Dec 3, 2021, registered Mar 22, 2023 (474 days) · RIA to a state-registered adviser
- P••• A••••• S••••••••• L•• to I•••••••• A•••••••• L••left Jun 6, 2019, registered May 16, 2019 (-21 days) · Affiliated broker-dealer or bank to independent RIA
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
- STATE REGISTEREDderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address