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•••••• A••
- B•••••••• 3•• L•• state registered currentsince Feb 9, 2018 · Houston, Tx
- W••••• D••••••••• S••••••••• I••••••••• A•••••••• I••• state registeredMay 21, 2014 to Nov 28, 2018 · Houston, Tx
- H•••••• T••••••• • K•••• L•• independent RIADec 19, 2011 to Jan 25, 2018 · Houston, Tx
- W••••• D••••••••• S••••••••• I••••••••• A•••••••• I••• state registeredApr 25, 2011 to Dec 31, 2011 · Houston, Tx
- W••••• D••••••••• S••••••••• I••••••••• A•••••••• I••• to B•••••••• 3•• L••left Nov 28, 2018, registered Feb 9, 2018 (-292 days) · Other
- H•••••• T••••••• • K•••• L•• to W••••• D••••••••• S••••••••• I••••••••• A•••••••• I•••left Jan 25, 2018, registered May 21, 2014 (-1345 days) · Other
- W••••• D••••••••• S••••••••• I••••••••• A•••••••• I••• to H•••••• T••••••• • K•••• L••left Dec 31, 2011, registered Dec 19, 2011 (-12 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address