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.
E•••••••• M• S•••
- T••••••••• L••••• A•••••••• L•• independent RIA currentsince Nov 8, 2016 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 14, 2006 to Sep 1, 2010 · Houston, Tx
- M•••••• L•••• T•••• C•••••• unclassifiedMay 12, 2006 to Nov 28, 2006 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 21, 2004 to May 12, 2006 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T••••••••• L••••• A•••••••• L••left Sep 1, 2010, registered Nov 8, 2016 (2260 days) · Other
- M•••••• L•••• T•••• C•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 28, 2006, registered Jul 14, 2006 (-137 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•••••• L•••• T•••• C••••••left May 12, 2006, registered May 12, 2006 (0 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address