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•••••• BD affiliated currentsince Jan 2, 2019 · Houston, Tx
- P•••••• W••••• M••••••••• I••• formerApr 25, 2011 to Feb 4, 2019 · Houston, Tx
- A••••• W••••• M••••••••• L•• unclassifiedJun 30, 2005 to Nov 27, 2006 · Houston, Tx
- A••••• W••••• M••••••••• L•• unclassifiedApr 30, 2003 to Dec 31, 2003 · Houston, Tx
- P•••••• W••••• M••••••••• I••• to M••••••left Feb 4, 2019, registered Jan 2, 2019 (-33 days) · RIA to RIA · moved with a team
- A••••• W••••• M••••••••• L•• to P•••••• W••••• M••••••••• I•••left Nov 27, 2006, registered Apr 25, 2011 (1610 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address