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••••• H•••• A•••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Dec 2, 2025 · Houston, Tx
- M••••••••• F•••••••• S••••••• L•• formerJun 8, 2016 to Dec 31, 2018 · Houston, Tx
- S•••••• M••••• L•• independent RIAOct 1, 2010 to Dec 3, 2025 · Houston, Tx
- A•••••• W••• D••••••• • B••••• I••• unclassifiedMar 19, 2009 to Oct 1, 2010 · Houston, Tx
- S••••••• G•••• C•••••• unclassifiedMar 21, 2003 to Mar 17, 2009 · Houston, Tx
- M••••• K••••• • C••••••• L•• formerJan 8, 2001 to Mar 19, 2003 · Houston, Tx
- S•••••• M••••• L•• to M••••••••• F•••••••• S••••••• L••left Dec 3, 2025, registered Jun 8, 2016 (-3465 days) · Other · moved with a team
- M••••••••• F•••••••• S••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Dec 31, 2018, registered Dec 2, 2025 (2528 days) · RIA to affiliated broker-dealer or bank · moved with a team
- A•••••• W••• D••••••• • B••••• I••• to S•••••• M••••• L••left Oct 1, 2010, registered Oct 1, 2010 (0 days) · Other
- S••••••• G•••• C•••••• to A•••••• W••• D••••••• • B••••• I•••left Mar 17, 2009, registered Mar 19, 2009 (2 days) · Other
- M••••• K••••• • C••••••• L•• to S••••••• G•••• C••••••left Mar 19, 2003, registered Mar 21, 2003 (2 days) · Other
- G••••• H•••• A••••• left S•••••• M••••• L•• for M••••••••• F•••••••• S••••••• L•• (registered 2016-06-08)Dec 3, 2025 · 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
- National broker-dealer RIAderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address