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.
A••• C•••••••• N••••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Jul 23, 2019 · Houston, Tx
- C••• P•••••• A•••••••• L•• formerJul 23, 2019 to Mar 12, 2021 · Houston, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Jun 17, 2019 · Boston, Ma
- S•••••••• A••••••• L•• national BDMar 3, 2016 to Jul 13, 2018 · Sugar Land, Tx
- C••• P•••••• A•••••••• L•• to C•••••••• G••••• M•••••• I•••left Mar 12, 2021, registered Jul 23, 2019 (-598 days) · channel change inside one enterprise, not a move
- F••••••• P••••••• A•• W•••••••• A••••••• to C••• P•••••• A•••••••• L••left Jun 17, 2019, registered Jul 23, 2019 (36 days) · Other
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address