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.
M•••••• H••••••• H•••••
- W•••• F•••• A••••••• wirehouse currentsince Nov 4, 2015 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 9, 2015 to Oct 30, 2015 · Houston, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerNov 26, 2012 to Apr 13, 2015 · Sugarland, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Oct 30, 2015, registered Nov 4, 2015 (5 days) · Wirehouse to wirehouse
- P•• M•••••• A•••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 13, 2015, registered Apr 9, 2015 (-4 days) · Other · moved with a team
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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address