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.
C••••••••• M•••••• W•••
- M••••• A•••••••• L•• BD affiliated currentsince Apr 22, 2019 · Kingwood, Tx
- F•••••• W••••• M••••••••• independent RIAJan 14, 2019 to Apr 25, 2019 · Kingwood, Tx
- C••••• C••••••• L•• formerJan 20, 2016 to Mar 29, 2016 · Denver, Co
- W•• A•••••••• L• formerOct 15, 2015 to Jan 20, 2016 · Kingwood, Tx
- F•••••• W••••• M••••••••• to M••••• A•••••••• L••left Apr 25, 2019, registered Apr 22, 2019 (-3 days) · RIA to affiliated broker-dealer or bank
- C••••• C••••••• L•• to F•••••• W••••• M•••••••••left Mar 29, 2016, registered Jan 14, 2019 (1021 days) · Other
- W•• A•••••••• L• to C••••• C••••••• L••left Jan 20, 2016, registered Jan 20, 2016 (0 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address