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.
W•••• Y•• C•••
- L•• F•••••••• L•• BD affiliated currentsince Mar 5, 2021 · Houston, Tx
- O••••••••• S••••••••• I••• BD affiliatedSep 30, 2014 to Mar 26, 2021 · Houston, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedMay 18, 2009 to Aug 28, 2014 · Houston, Tx
- O••••••••• S••••••••• I••• to L•• F•••••••• L••left Mar 26, 2021, registered Mar 5, 2021 (-21 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to O••••••••• S••••••••• I•••left Aug 28, 2014, registered Sep 30, 2014 (33 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address