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.
W•••••• R•••• R•••••••
- B••••••••• W••••• A•••••••• L•• no RAUM currentsince May 6, 2019 · Houston, Tx
- W••••• C••••••• G•••• L•• formerJan 9, 2018 to Oct 31, 2018 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 21, 2016 to Dec 12, 2017 · Houston, Tx
- W••••• C••••••• G•••• L•• to B••••••••• W••••• A•••••••• L••left Oct 31, 2018, registered May 6, 2019 (187 days) · RIA to RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W••••• C••••••• G•••• L••left Dec 12, 2017, registered Jan 9, 2018 (28 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- No RAUM reportedderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address