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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- C•••••• independent RIA currentsince Jan 25, 2024 · Houston, Tx
- U••• C•••••• W••••• A•••••••• L•• BD affiliatedJun 30, 2021 to Oct 4, 2023 · Austin, Tx
- U••• A•••• M••••••••• L•• asset managerApr 9, 2015 to Oct 5, 2023 · Houston, Tx
- U••• R•• L•• formerJan 3, 2011 to Jun 30, 2021 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseApr 30, 2004 to Dec 6, 2010 · Houston, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 22, 1989 to May 13, 2004 · Houston, Tx
- U••• A•••• M••••••••• L•• to U••• C•••••• W••••• A•••••••• L••left Oct 5, 2023, registered Jun 30, 2021 (-827 days) · Other
- U••• C•••••• W••••• A•••••••• L•• to C••••••left Oct 4, 2023, registered Jan 25, 2024 (113 days) · Affiliated broker-dealer or bank to independent RIA
- U••• R•• L•• to U••• A•••• M••••••••• L••left Jun 30, 2021, registered Apr 9, 2015 (-2274 days) · Other · moved with a team
- U•• F•••••••• S••••••• I••• to U••• R•• L••left Dec 6, 2010, registered Jan 3, 2011 (28 days) · Other
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left May 13, 2004, registered Apr 30, 2004 (-13 days) · Other
- D•••• M•••••• H••••• left U••• A•••• M••••••••• L•• for U••• C•••••• W••••• A•••••••• L•• (registered 2021-06-30)Oct 5, 2023 · Advisor changed firm · fact
- D•••• M•••••• H••••• left U••• C•••••• W••••• A•••••••• L•• for Corient (registered 2024-01-25)Oct 4, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address