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••••• F••••••
- F••••• M••••• W••••• A•••••••• L•• independent RIA currentsince Jan 8, 2021 · Houston, Tx
- U••• R•• L•• formerOct 15, 2018 to Jul 24, 2020 · Houston, Tx
- A••••• I••••••••• • A••••••• formerMay 20, 2013 to Aug 12, 2014 · Houston, Tx
- B•••••••• C•••••• M••••••••• L•• asset managerOct 19, 2006 to Jun 14, 2011 · Houston, Tx
- U••• R•• L•• to F••••• M••••• W••••• A•••••••• L••left Jul 24, 2020, registered Jan 8, 2021 (168 days) · Affiliated broker-dealer or bank to independent RIA
- A••••• I••••••••• • A••••••• to U••• R•• L••left Aug 12, 2014, registered Oct 15, 2018 (1525 days) · Other
- B•••••••• C•••••• M••••••••• L•• to A••••• I••••••••• • A•••••••left Jun 14, 2011, registered May 20, 2013 (706 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address