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.
L••• C••••••
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Houston, Tx
- P•••• S••••••••• L•• no RAUMJun 11, 2024 to Nov 14, 2024 · Rancho Viejo, Tx
- B••••• G••••• A•••• M••••••••• BD affiliatedJul 23, 2012 to Jun 10, 2024 · B•••••, Ma
- W•••• F•••• A••••••• wirehouseJan 21, 2011 to Jul 19, 2012 · Brownsville, Tx
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- B••••• G••••• A•••• M••••••••• to P•••• S••••••••• L••left Jun 10, 2024, registered Jun 11, 2024 (1 days) · RIA to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to B••••• G••••• A•••• M•••••••••left Jul 19, 2012, registered Jul 23, 2012 (4 days) · Other
- L••• C•••••• left B••••• G••••• A•••• M••••••••• for P•••• S••••••••• L•• (registered 2024-06-11)Jun 10, 2024 · Advisor changed firm · fact
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address