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.
T•••• D•••• T•••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 21, 2019 · Katy, Tx
- A•••••• A••••••• S••••••• formerOct 29, 2018 to Jun 28, 2019 · Houston, Tx
- S••••• F•••••••• G•••• I•• formerFeb 7, 2018 to Nov 5, 2018 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 17, 2016 to Feb 15, 2018 · Houston, Tx
- S••••••••• A•••••• A•••••••• I••• formerNov 18, 2014 to Feb 2, 2016 · Houston, Tx
- L•• F•••••••• L•• BD affiliatedMar 4, 2014 to Nov 24, 2014 · Houston, Tx
- A•••••• A••••••• S••••••• to L•• F•••••••• L••left Jun 28, 2019, registered Jun 21, 2019 (-7 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- S••••• F•••••••• G•••• I•• to A•••••• A••••••• S•••••••left Nov 5, 2018, registered Oct 29, 2018 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••••• F•••••••• G•••• I••left Feb 15, 2018, registered Feb 7, 2018 (-8 days) · Other
- S••••••••• A•••••• A•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 2, 2016, registered Mar 17, 2016 (44 days) · Other
- L•• F•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Nov 24, 2014, registered Nov 18, 2014 (-6 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address