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.
K••••••• R•••••
- A••• A••••••• P••••••• BD affiliated currentsince Jul 21, 2026 · Houston, Tx
- U••• C•••••• W••••• A•••••••• L•• BD affiliatedJun 30, 2021 to Jul 21, 2026 · Austin, Tx
- U••• R•• L•• formerMay 15, 2019 to Jun 30, 2021 · Houston, Tx
- U••• R•• L•• formerMay 14, 2019 to May 14, 2019 · Houston, Tx
- R•• C•••••• M••••••• L•• national BDMay 28, 2014 to May 22, 2019 · Sugar Land, Tx
- W•••• F•••• A••••••• wirehouseJul 1, 2008 to May 30, 2014 · Katy, Tx
- W•••• F•••• I••••••••• L•• unclassifiedApr 25, 2002 to Jul 7, 2008 · Brookshire, Tx
- U••• C•••••• W••••• A•••••••• L•• to A••• A••••••• P•••••••left Jul 21, 2026, registered Jul 21, 2026 (0 days) · corporate re-registration, not a move
- U••• R•• L•• to U••• C•••••• W••••• A•••••••• L••left Jun 30, 2021, registered Jun 30, 2021 (0 days) · corporate re-registration, not a move
- R•• C•••••• M••••••• L•• to U••• R•• L••left May 22, 2019, registered May 14, 2019 (-8 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left May 30, 2014, registered May 28, 2014 (-2 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jul 7, 2008, registered Jul 1, 2008 (-6 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address