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.
J••••••• D•••• D••••••
- A••••• A•••• independent RIA currentsince Oct 25, 2006 · A•••••, Tx
- R•• C•••••• M••••••• L•• national BDApr 16, 2004 to Jul 21, 2006 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseSep 30, 2002 to May 10, 2004 · Sugarland, Tx
- R•• C•••••• M••••••• L•• to A••••• A••••left Jul 21, 2006, registered Oct 25, 2006 (96 days) · Other
- U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••left May 10, 2004, registered Apr 16, 2004 (-24 days) · Wirehouse to affiliated broker-dealer or bank
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address