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.
G•••••• C•••••• A••••
- C•••••• S••••• • C••• I••• national BD currentsince Jan 26, 2022 · Houston, Tx
- T• A••••••••• I••• formerDec 6, 2012 to Oct 14, 2022 · Houston, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerDec 6, 2012 to Sep 7, 2023 · Houston, Tx
- E•••••• C•••••• M••••••••• L•• formerJun 7, 2011 to Nov 16, 2012 · Houston, Tx
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Jun 1, 2011 · Katy, Tx
- W••• I••••••••• I••• unclassifiedNov 11, 2004 to May 2, 2009 · Houston, Tx
- A••••••••• A•••••• S•••••••• I••• unclassifiedJun 30, 2003 to Nov 9, 2004 · Sugarland, Tx
- C•••••• L•• independent RIAJul 10, 2002 to Jul 10, 2003 · Sugarland, Tx
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Dec 6, 2012 (-3599 days) · corporate re-registration, not a move
- E•••••• C•••••• M••••••••• L•• to T• A••••••••• I•••left Nov 16, 2012, registered Dec 6, 2012 (20 days) · Other
- C•••• I••••••••• S••••••• C•••• to E•••••• C•••••• M••••••••• L••left Jun 1, 2011, registered Jun 7, 2011 (6 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- A••••••••• A•••••• S•••••••• I••• to W••• I••••••••• I•••left Nov 9, 2004, registered Nov 11, 2004 (2 days) · Other
- C•••••• L•• to A••••••••• A•••••• S•••••••• I•••left Jul 10, 2003, registered Jun 30, 2003 (-10 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address