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.
T••••• W••••• M•••••••
- H•••••• S••••••••• I••• BD affiliated currentsince Jul 5, 2023 · Austin, Tx
- P•• W••••• M••••••••• BD affiliatedSep 20, 2021 to Mar 23, 2022 · Houston, Tx
- C••••••• S••••••••• formerNov 11, 2015 to Jan 3, 2020 · Dallas, Tx
- B• R•••• W••••• M••••••••• formerDec 17, 2013 to Nov 5, 2015 · Houston, Tx
- P•• W••••• M••••••••• to H•••••• S••••••••• I•••left Mar 23, 2022, registered Jul 5, 2023 (469 days) · Affiliated broker-dealer or bank to another
- C••••••• S••••••••• to P•• W••••• M•••••••••left Jan 3, 2020, registered Sep 20, 2021 (626 days) · Other
- B• R•••• W••••• M••••••••• to C••••••• S•••••••••left Nov 5, 2015, registered Nov 11, 2015 (6 days) · Other
- T••••• W••••• M••••••• left P•• W••••• M••••••••• for H•••••• S••••••••• I••• (registered 2023-07-05)Mar 23, 2022 · 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address