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.
S•••••• E••••• A••••••••
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · Houston, Tx
- S•••••••• F••••••••• I••• formerAug 30, 2018 to Sep 1, 2023 · Houston, Tx
- N••• F•••••••• G••••• I••• formerSep 25, 2009 to Aug 30, 2018 · Houston, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 20, 2009 · Houston, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 18, 2003 to Jun 1, 2009 · Houston, Tx
- S•••••••• A••••••• L•• national BDJun 25, 1999 to Mar 4, 2003 · Houston, Tx
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- N••• F•••••••• G••••• I••• to S•••••••• F••••••••• I•••left Aug 30, 2018, registered Aug 30, 2018 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• to N••• F•••••••• G••••• I•••left Oct 20, 2009, registered Sep 25, 2009 (-25 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to C•••••••• G••••• M•••••• I•••left Mar 4, 2003, registered Feb 18, 2003 (-14 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address