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.
D•••• J•••••• H•••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Aug 8, 2019 · Houston, Tx
- L•• F•••••••• L•• BD affiliatedMar 30, 2021 to Apr 9, 2021 · Houston, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMar 8, 2018 to Jul 17, 2019 · Sugar Land, Tx
- F••••• I••••••••• independent RIAJul 16, 2016 to Dec 15, 2017 · Houston, Tx
- L•• F•••••••• L•• to no registered destinationleft Apr 9, 2021 · Departure, no registered destination
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to W••••• E••••••••• A••••••• S•••••••• L••left Jul 17, 2019, registered Aug 8, 2019 (22 days) · Affiliated broker-dealer or bank to another
- F••••• I••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Dec 15, 2017, registered Mar 8, 2018 (83 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address