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.
B•••••• L••••• W•••••
- T•• A•••••••• I••• BD affiliated currentsince Jun 28, 2022 · Los Angeles, Ca
- A••••••• W••••• A•• R••••••••• P••••••• C•••••••• L•• unclassifiedFeb 2, 2018 to Aug 19, 2022 · Houston, Tx
- A••••••• W••••• A•• R••••••••• P••••••• C•••••••• L•• unclassifiedJun 1, 2012 to Dec 31, 2017 · Houston, Tx
- P•• F•••••••• S••••••• L•• unclassifiedJul 14, 2011 to Jul 30, 2012 · Los Angeles, Ca
- R••• F•••••••• G••••• L•• independent RIAOct 2, 2009 to Sep 14, 2011 · Austin, Tx
- B••••••••• C•••••• M••••••••• L•• independent RIAOct 31, 2007 to Jun 26, 2009 · Altadena, Ca
- A••••••• W••••• A•• R••••••••• P••••••• C•••••••• L•• to T•• A•••••••• I•••left Aug 19, 2022, registered Jun 28, 2022 (-52 days) · Other
- P•• F•••••••• S••••••• L•• to A••••••• W••••• A•• R••••••••• P••••••• C•••••••• L••left Jul 30, 2012, registered Jun 1, 2012 (-59 days) · Other
- R••• F•••••••• G••••• L•• to P•• F•••••••• S••••••• L••left Sep 14, 2011, registered Jul 14, 2011 (-62 days) · Other
- B••••••••• C•••••• M••••••••• L•• to R••• F•••••••• G••••• L••left Jun 26, 2009, registered Oct 2, 2009 (98 days) · Other
- B•••••• L••••• W••••• left A••••••• W••••• A•• R••••••••• P••••••• C•••••••• L•• for T•• A•••••••• I••• (registered 2022-06-28)Aug 19, 2022 · Advisor changed firm · fact
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address