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.
D••••• A••••• N•••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Jun 10, 2024 · Houston, Tx
- T•• F•••••••• A••••••• G••••• L•• formerOct 4, 2007 to Jun 21, 2024 · Houston, Tx
- N••••• A•••• M••••••••• I••• unclassifiedJun 29, 2006 to Oct 3, 2007 · Houston, Tx
- G•••••••• I••••••••• M••••••••• I••• unclassifiedOct 4, 2004 to Apr 12, 2006 · Houston, Tx
- X•••• F•••••••• P•••••••• I••• unclassifiedAug 23, 2004 to Dec 31, 2004 · Houston, Tx
- X•••• F•••••••• P•••••••• I••• unclassifiedJan 13, 2003 to Jul 26, 2004 · Houston, Tx
- X•••• I••••••••• S•••••••• I••• unclassifiedFeb 11, 2002 to Jan 15, 2003 · Houston, Tx
- T•• F•••••••• A••••••• G••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Jun 21, 2024, registered Jun 10, 2024 (-11 days) · RIA to RIA · moved with a team
- N••••• A•••• M••••••••• I••• to T•• F•••••••• A••••••• G••••• L••left Oct 3, 2007, registered Oct 4, 2007 (1 days) · Other
- G•••••••• I••••••••• M••••••••• I••• to N••••• A•••• M••••••••• I•••left Apr 12, 2006, registered Jun 29, 2006 (78 days) · Other
- X•••• F•••••••• P•••••••• I••• to G•••••••• I••••••••• M••••••••• I•••left Dec 31, 2004, registered Oct 4, 2004 (-88 days) · Other
- X•••• I••••••••• S•••••••• I••• to X•••• F•••••••• P•••••••• I•••left Jan 15, 2003, registered Jan 13, 2003 (-2 days) · Other
- D••••• A••••• N••••• left T•• F•••••••• A••••••• G••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-06-10)Jun 21, 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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address