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.
J••••• C• V•••••
- I•• I••••••••• A•••••••• L•• mixed wealth currentsince Jan 11, 2023 · San Diego, Ca
- I•• I••••••••• A•••••••• L•• mixed wealthJun 30, 2021 to Dec 31, 2022 · Houston, Tx
- M••••• S•••••• wirehouseMay 25, 2012 to Jun 23, 2021 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseJan 1, 2010 to Jun 4, 2012 · Houston, Tx
- U•• I••••••••• I••• unclassifiedJan 10, 2005 to Jan 1, 2010 · Houston, Tx
- M••••• S•••••• to I•• I••••••••• A•••••••• L••left Jun 23, 2021, registered Jun 30, 2021 (7 days) · Wirehouse to independent RIA
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Jun 4, 2012, registered May 25, 2012 (-10 days) · Wirehouse to wirehouse
- U•• I••••••••• I••• to U•• F•••••••• S••••••• I•••left Jan 1, 2010, registered Jan 1, 2010 (0 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address