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.
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R•••• R••••• Y••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 6, 2020 · Houston, Tx
- S•••••• N••••••• • C••••••• I••••••••• national BDAug 31, 2015 to Nov 12, 2020 · Houston, Tx
- H•••••• S••••••••• I••• BD affiliatedJan 13, 2012 to Sep 30, 2015 · Dallas, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 19, 2012 · Houston, Tx
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Houston, Tx
- M••••• S•••••• D• I••• unclassifiedApr 29, 2005 to Apr 2, 2007 · Houston, Tx
- A• G• E•••••• • S•••• I••• unclassifiedAug 22, 2002 to May 6, 2005 · Houston, Tx
- S•••••• N••••••• • C••••••• I••••••••• to L•• F•••••••• L••left Nov 12, 2020, registered Nov 6, 2020 (-6 days) · Affiliated broker-dealer or bank to another
- H•••••• S••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Sep 30, 2015, registered Aug 31, 2015 (-30 days) · Other
- M••••• S•••••• to H•••••• S••••••••• I•••left Jan 19, 2012, registered Jan 13, 2012 (-6 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- A• G• E•••••• • S•••• I••• to M••••• S•••••• D• I•••left May 6, 2005, registered Apr 29, 2005 (-7 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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address