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.
G••••• C• M•••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince May 6, 2013 · Chicago, Il
- U••• A•••• M••••••••• L•• asset managerMar 4, 2008 to May 7, 2013 · Houston, Tx
- H••••••••• P•••••••• L•• unclassifiedFeb 4, 2004 to May 23, 2008 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 23, 1983 to Feb 3, 2004 · Houston, Tx
- U••• A•••• M••••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left May 7, 2013, registered May 6, 2013 (-1 days) · Other
- H••••••••• P•••••••• L•• to U••• A•••• M••••••••• L••left May 23, 2008, registered Mar 4, 2008 (-80 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H••••••••• P•••••••• L••left Feb 3, 2004, registered Feb 4, 2004 (1 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
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address