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.
- C••• C••••••• L••• state registered currentsince Jan 27, 2016 · Katy, Tx
- H••••• I••••••••• M••••••••• L•• independent RIAAug 10, 2011 to Jan 25, 2016 · Katy, Tx
- R•••••• W••••• A•••••••• I••• independent RIAApr 20, 2011 to Jul 20, 2011 · Schaumburg, Il
- I•••••••• A•••••••• L•• BD affiliatedMar 15, 2010 to Apr 4, 2011 · Schaumburg, Il
- H••••• I••••••••• M••••••••• L•• to C••• C••••••• L•••left Jan 25, 2016, registered Jan 27, 2016 (2 days) · Other
- R•••••• W••••• A•••••••• I••• to H••••• I••••••••• M••••••••• L••left Jul 20, 2011, registered Aug 10, 2011 (21 days) · Other
- I•••••••• A•••••••• L•• to R•••••• W••••• A•••••••• I•••left Apr 4, 2011, registered Apr 20, 2011 (16 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address