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.
A••••• D•••• S••••
- A••••• F••••••••• L•• state registered currentsince Nov 21, 2024 · Houston, Tx
- L•••• F••• A••••••• S••••••• BD affiliatedApr 28, 2016 to Apr 3, 2020 · Houston, Tx
- C•••••• S••••• • C••• I••• national BDSep 24, 2012 to May 18, 2016 · Houston, Tx
- B••••••••• L•• formerMar 3, 2010 to Aug 21, 2012 · Houston, Tx
- P••• C••••••• P••••••• independent RIAMay 1, 2009 to Dec 2, 2009 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseMar 2, 2007 to May 6, 2009 · Houston, Tx
- I•••••• A•• P•••••• A•••• M••••••••• I••• unclassifiedJun 27, 2006 to Jan 26, 2007 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseMay 19, 2003 to Jun 22, 2006 · Houston, Tx
- L•••• F••• A••••••• S••••••• to A••••• F••••••••• L••left Apr 3, 2020, registered Nov 21, 2024 (1693 days) · Affiliated broker-dealer or bank to a state-registered adviser
- C•••••• S••••• • C••• I••• to L•••• F••• A••••••• S•••••••left May 18, 2016, registered Apr 28, 2016 (-20 days) · Other
- B••••••••• L•• to C•••••• S••••• • C••• I•••left Aug 21, 2012, registered Sep 24, 2012 (34 days) · channel change inside one enterprise, not a move
- P••• C••••••• P••••••• to B••••••••• L••left Dec 2, 2009, registered Mar 3, 2010 (91 days) · Other
- U•• F•••••••• S••••••• I••• to P••• C••••••• P•••••••left May 6, 2009, registered May 1, 2009 (-5 days) · Other
- I•••••• A•• P•••••• A•••• M••••••••• I••• to U•• F•••••••• S••••••• I•••left Jan 26, 2007, registered Mar 2, 2007 (35 days) · Other
- U•• F•••••••• S••••••• I••• to I•••••• A•• P•••••• A•••• M••••••••• I•••left Jun 22, 2006, registered Jun 27, 2006 (5 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