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.
S••••• J•• L•••••
- C••••••••• W••••• A•••••••• L•• state registered currentsince Sep 21, 2016 · Austin, Tx
- P••• A••••• S••••••••• L•• BD affiliatedJul 19, 2013 to Jun 2, 2016 · Houston, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedApr 13, 2011 to Dec 31, 2012 · Houston, Tx
- C•••• I••••••••• S••••••• C•••• formerFeb 2, 2009 to Aug 12, 2009 · Pearland, Tx
- E•••• S••••••••• L•• BD affiliatedApr 13, 2007 to Jan 7, 2009 · Houston, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDJan 3, 2003 to Oct 31, 2006 · Houston, Tx
- P••• A••••• S••••••••• L•• to C••••••••• W••••• A•••••••• L••left Jun 2, 2016, registered Sep 21, 2016 (111 days) · Other
- M•• I•••••••• S•••••••• L•• to P••• A••••• S••••••••• L••left Dec 31, 2012, registered Jul 19, 2013 (200 days) · Other
- C•••• I••••••••• S••••••• C•••• to M•• I•••••••• S•••••••• L••left Aug 12, 2009, registered Apr 13, 2011 (609 days) · Other
- E•••• S••••••••• L•• to C•••• I••••••••• S••••••• C••••left Jan 7, 2009, registered Feb 2, 2009 (26 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to E•••• S••••••••• L••left Oct 31, 2006, registered Apr 13, 2007 (164 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
- STATE REGISTEREDderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address