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.
D•••• H••••• J••••
- R••••• H••••••• I••••••••• mixed wealth currentsince Sep 14, 2010 · Austin, Tx
- C••• C•••••• M••••••••• L•• unclassifiedJan 11, 2010 to Sep 3, 2010 · Houston, Tx
- M••••• C•••••• A•••••••• L•• independent RIAMay 19, 2004 to May 6, 2010 · Austin, Tx
- C•••••• C••••• A•••• M••••••••• I•• unclassifiedMar 6, 2001 to Apr 30, 2004 · Austin, Tx
- C••• C•••••• M••••••••• L•• to R••••• H••••••• I•••••••••left Sep 3, 2010, registered Sep 14, 2010 (11 days) · Other
- M••••• C•••••• A•••••••• L•• to C••• C•••••• M••••••••• L••left May 6, 2010, registered Jan 11, 2010 (-115 days) · Other
- C•••••• C••••• A•••• M••••••••• I•• to M••••• C•••••• A•••••••• L••left Apr 30, 2004, registered May 19, 2004 (19 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address