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.
- C•••••• independent RIA currentsince Jan 19, 2024 · Houston, Tx
- R••••••••• C•••••• M••••••••• BD affiliatedMay 22, 2020 to Feb 15, 2024 · Houston, Tx
- R•••••• J•••• • A••••••••• I••• national BDSep 6, 2016 to May 27, 2020 · Houston, Tx
- D••••••• B••• S••••••••• I••• no RAUMAug 5, 2011 to Sep 6, 2016 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 25, 2009 to Aug 9, 2011 · Houston, Tx
- M••••• S•••••• • C•• L•• unclassifiedFeb 5, 2003 to Sep 1, 2005 · Houston, Tx
- R••••••••• C•••••• M••••••••• to C••••••left Feb 15, 2024, registered Jan 19, 2024 (-27 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- R•••••• J•••• • A••••••••• I••• to R••••••••• C•••••• M•••••••••left May 27, 2020, registered May 22, 2020 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
- D••••••• B••• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Sep 6, 2016, registered Sep 6, 2016 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to D••••••• B••• S••••••••• I•••left Aug 9, 2011, registered Aug 5, 2011 (-4 days) · Other
- M••••• S•••••• • C•• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 1, 2005, registered May 25, 2009 (1362 days) · Other
- S••••• D• F•••••••• left R••••••••• C•••••• M••••••••• for Corient (registered 2024-01-19)Feb 15, 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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address