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.
J•••••• E••••• C••••
- J•••••• • C••• L•• state registered currentsince Feb 13, 2015 · New Orleans, La
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 9, 2010 to Feb 17, 2015 · Houston, Tx
- W••••• D••••••••• S••••••••• I••••••••• A•••••••• I••• state registeredMar 2, 2010 to Nov 16, 2010
- H•••••• T••••••• • K•••• L•• independent RIAAug 5, 2009 to Nov 11, 2010 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J•••••• • C••• L••left Feb 17, 2015, registered Feb 13, 2015 (-4 days) · Wirehouse to a state-registered adviser
- W••••• D••••••••• S••••••••• I••••••••• A•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 16, 2010, registered Nov 9, 2010 (-7 days) · Other
- H•••••• T••••••• • K•••• L•• to W••••• D••••••••• S••••••••• I••••••••• A•••••••• I•••left Nov 11, 2010, registered Mar 2, 2010 (-254 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
- STATE REGISTEREDderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address