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•••• A•••• U••••••
- T•• M••••• G••••• L•• independent RIA currentsince Apr 19, 2018 · Chicago, Il
- P•••••• A•••••• G••••• L•• BD affiliatedNov 30, 2012 to Jun 5, 2018 · Houston, Tx
- C•••••••• F•••••••• G•••• A••••••• formerMar 10, 2009 to Dec 19, 2012 · Houston, Tx
- L•• F•••••••• L•• BD affiliatedMar 10, 2008 to Jan 28, 2009 · Richmond, Tx
- W••••••• F•••••••• S•••••••• I••• formerAug 20, 2007 to Mar 17, 2008 · Humble, Tx
- O•••• F•• I••• formerJun 9, 2003 to Aug 14, 2007 · Houston, Tx
- P•••••• A•••••• G••••• L•• to T•• M••••• G••••• L••left Jun 5, 2018, registered Apr 19, 2018 (-47 days) · RIA to RIA
- C•••••••• F•••••••• G•••• A••••••• to P•••••• A•••••• G••••• L••left Dec 19, 2012, registered Nov 30, 2012 (-19 days) · Other
- L•• F•••••••• L•• to C•••••••• F•••••••• G•••• A•••••••left Jan 28, 2009, registered Mar 10, 2009 (41 days) · Other
- W••••••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Mar 17, 2008, registered Mar 10, 2008 (-7 days) · Other
- O•••• F•• I••• to W••••••• F•••••••• S•••••••• I•••left Aug 14, 2007, registered Aug 20, 2007 (6 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address