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.
R••••• T••••• F••••
- E•••••• F•••••••• E•••••• independent RIA currentsince Nov 30, 2016 · Spring, Tx
- F•••••••• E•••••• A•••••• C•••••• L•• formerSep 6, 2016 to Nov 30, 2016 · The Woodlands, Tx
- T•• M••••• F••• S•••• formerJul 23, 2013 to Sep 23, 2016 · Overland Park, Ks
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 9, 2007 to Jul 18, 2013 · Houston, Tx
- T• A••••••••• I••• formerMar 9, 2007 to Jul 18, 2013 · Houston, Tx
- E•••••••• A•••••••• L•• national BDJan 27, 2006 to Mar 2, 2007 · The Woodlands, Tx
- F•••••••• E•••••• A•••••• C•••••• L•• to E•••••• F•••••••• E••••••left Nov 30, 2016, registered Nov 30, 2016 (0 days) · corporate re-registration, not a move
- T•• M••••• F••• S•••• to F•••••••• E•••••• A•••••• C•••••• L••left Sep 23, 2016, registered Sep 6, 2016 (-17 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T•• M••••• F••• S••••left Jul 18, 2013, registered Jul 23, 2013 (5 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 18, 2013, registered Mar 9, 2007 (-2323 days) · channel change inside one enterprise, not a move
- E•••••••• A•••••••• L•• to T• A••••••••• I•••left Mar 2, 2007, registered Mar 9, 2007 (7 days) · Affiliated broker-dealer or bank to a newly registered adviser
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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address