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.
K•••• F•••••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 17, 2022 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseJul 8, 2015 to Aug 19, 2022 · Houston, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerDec 1, 2014 to Jun 1, 2015 · Houston, Tx
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 19, 2022, registered Nov 17, 2022 (90 days) · Wirehouse to wirehouse
- P•• M•••••• A•••••• S••••••••• I••• to U•• F•••••••• S••••••• I•••left Jun 1, 2015, registered Jul 8, 2015 (37 days) · Other
- K•••• F••••••••• left U•• F•••••••• S••••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-11-17)Aug 19, 2022 · 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
- Wirehousederived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address