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•••• R••••••• R••••
- R•• W••••• M••••••••• independent RIA currentsince Aug 1, 2019 · Houston, Tx
- P•• A••••••• S•••••••• L•• independent RIAJul 2, 2019 to Aug 7, 2019 · Albany, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 18, 2013 to Jun 18, 2019 · Houston, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to May 2, 2013 · Houston, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 18, 2005 to Jun 1, 2009 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseSep 24, 1999 to Mar 14, 2005 · Houston, Tx
- P•• A••••••• S•••••••• L•• to R•• W••••• M•••••••••left Aug 7, 2019, registered Aug 1, 2019 (-6 days) · RIA to a newly registered adviser · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• A••••••• S•••••••• L••left Jun 18, 2019, registered Jul 2, 2019 (14 days) · Wirehouse to independent RIA · moved with a team
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 2, 2013, registered Apr 18, 2013 (-14 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left Mar 14, 2005, registered Feb 18, 2005 (-24 days) · Other
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
- Independent wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address