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.
R••••• L•• F••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Aug 21, 2024 · The Woodlands, Tx
- U••••• C•••••• F•••••••• A••••••• independent RIADec 5, 2014 to Mar 13, 2024 · The Woodlands, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDApr 17, 1991 to Dec 12, 2014 · Houston, Tx
- U••••• C•••••• F•••••••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Mar 13, 2024, registered Aug 21, 2024 (161 days) · RIA to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to U••••• C•••••• F•••••••• A•••••••left Dec 12, 2014, registered Dec 5, 2014 (-7 days) · Other
- R••••• L•• F•••••• left U••••• C•••••• F•••••••• A••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2024-08-21)Mar 13, 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address