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.
R••••• G••• W•••••
- N••• F•••••• I••••••••• S•••••••• L•• BD affiliated currentsince Sep 5, 2024 · Houston, Tx
- L•• F•••••••• L•• BD affiliatedAug 30, 2021 to Apr 24, 2024 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 23, 2018 to Aug 30, 2021 · Houston, Tx
- L•• F•••••••• L•• to N••• F•••••• I••••••••• S•••••••• L••left Apr 24, 2024, registered Sep 5, 2024 (134 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Aug 30, 2021, registered Aug 30, 2021 (0 days) · Wirehouse to affiliated broker-dealer or bank
- R••••• G••• W••••• left L•• F•••••••• L•• for N••• F•••••• I••••••••• S•••••••• L•• (registered 2024-09-05)Apr 24, 2024 · 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address