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.
L••• G••• M•••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 13, 2025 · San Diego, Ca
- W•••••• S••••••••• I••• BD affiliatedOct 30, 2024 to Aug 13, 2025 · Pasadena, Ca
- B• R•••• W••••• A•••••••• I••• BD affiliatedAug 10, 2022 to Nov 20, 2024 · Houston, Tx
- B• R•••• W••••• M••••••••• formerDec 17, 2012 to Dec 31, 2022 · Houston, Tx
- S•••••• M••••• L•• independent RIAJun 26, 2006 to Dec 14, 2012 · Houston, Tx
- S•• C•••••• A••••••• L•• institutionalFeb 5, 2003 to Dec 31, 2006 · Houston, Tx
- B••• O•• S••••••••• C••••••••• unclassifiedApr 5, 1993 to Feb 5, 2003 · Houston, Tx
- W•••••• S••••••••• I••• to L•• F•••••••• L••left Aug 13, 2025, registered Aug 13, 2025 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- B• R•••• W••••• A•••••••• I••• to W•••••• S••••••••• I•••left Nov 20, 2024, registered Oct 30, 2024 (-21 days) · Affiliated broker-dealer or bank to another
- B• R•••• W••••• M••••••••• to B• R•••• W••••• A•••••••• I•••left Dec 31, 2022, registered Aug 10, 2022 (-143 days) · corporate re-registration, not a move
- S•••••• M••••• L•• to B• R•••• W••••• M•••••••••left Dec 14, 2012, registered Dec 17, 2012 (3 days) · Other
- S•• C•••••• A••••••• L•• to S•••••• M••••• L••left Dec 31, 2006, registered Jun 26, 2006 (-188 days) · corporate re-registration, not a move
- B••• O•• S••••••••• C••••••••• to S•• C•••••• A••••••• L••left Feb 5, 2003, registered Feb 5, 2003 (0 days) · Other
- L••• G••• M••••••• left W•••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2025-08-13)Aug 13, 2025 · Advisor changed firm · fact
- L••• G••• M••••••• left B• R•••• W••••• A•••••••• I••• for W•••••• S••••••••• I••• (registered 2024-10-30)Nov 20, 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address