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.
D•••••• M•••••• Y••••
- V•••••• A•••••••• I••• BD affiliated currentsince Aug 31, 2021 · Houston, Tx
- W••••• D••••••••• S••••••••• I••••••••• A•••••••• I••• state registered currentsince Feb 27, 2016 · Houston, Tx
- H•••••• T••••••• • K•••• L•• independent RIASep 21, 2015 to Aug 31, 2021 · Houston, Tx
- W•••••• • R••• formerDec 11, 2013 to Sep 8, 2015 · Edmond, Ok
- F•••••••• A••••••• S•••••••• L•• formerMay 8, 2013 to Dec 10, 2013 · Houston, Tx
- H•••••• T••••••• • K•••• L•• to W••••• D••••••••• S••••••••• I••••••••• A•••••••• I•••left Aug 31, 2021, registered Feb 27, 2016 (-2012 days) · Affiliated broker-dealer or bank to a state-registered adviser
- W•••••• • R••• to H•••••• T••••••• • K•••• L••left Sep 8, 2015, registered Sep 21, 2015 (13 days) · Other
- F•••••••• A••••••• S•••••••• L•• to W•••••• • R•••left Dec 10, 2013, registered Dec 11, 2013 (1 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address