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•••••••• R•••••• C•••••
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Mar 31, 2022 · Houston, Tx
- I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliatedJan 7, 2016 to Apr 4, 2022 · Houston, Tx
- I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliatedFeb 2, 2015 to Dec 31, 2015 · Houston, Tx
- I••••••••• A••••• I••••••••• M••••••••• L•• to I••••••••• F•••••••• G••••• L••left Apr 4, 2022, registered Mar 31, 2022 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
- A•••••••• R•••••• C••••• left I••••••••• A••••• I••••••••• M••••••••• L•• for I••••••••• F•••••••• G••••• L•• (registered 2022-03-31)Apr 4, 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
- 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