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.
E••• W•••••• R•••••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 24, 2025 · Houston, Tx
- O•••• F•• I••• formerNov 1, 2019 to Jan 24, 2025 · Houston, Tx
- W•••••• • R••• formerMay 1, 2015 to Nov 6, 2019 · Webster, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDOct 5, 2009 to May 14, 2015 · Friendswood, Tx
- A••••••••• A•••••• S•••••••• I••• unclassifiedJun 27, 2003 to Oct 5, 2009 · Friendswood, Tx
- C•••••• L•• independent RIAOct 3, 2002 to Jul 9, 2003 · Houston, Tx
- O•••• F•• I••• to O•••• W•••••• I•••left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
- W•••••• • R••• to O•••• F•• I•••left Nov 6, 2019, registered Nov 1, 2019 (-5 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to W•••••• • R•••left May 14, 2015, registered May 1, 2015 (-13 days) · Other
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
- C•••••• L•• to A••••••••• A•••••• S•••••••• I•••left Jul 9, 2003, registered Jun 27, 2003 (-12 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address