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• S•••• G•••••
- O•••• W•••••• I••• BD affiliated currentsince Dec 14, 2023 · The Woodlands, Tx
- A••••••••• I••• BD affiliatedJul 31, 2008 to Oct 31, 2022 · Houston, Tx
- G••••••• F•••••••• A•••• M••••••••• I•• unclassifiedJun 10, 2005 to Jul 31, 2008 · Houston, Tx
- J••• H•••••• D••••••••• L•• unclassifiedJul 29, 2004 to Dec 2, 2004 · Sugarland, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 6, 2001 to Sep 11, 2002 · Beverly Hills, Ca
- A••••••••• I••• to O•••• W•••••• I•••left Oct 31, 2022, registered Dec 14, 2023 (409 days) · Affiliated broker-dealer or bank to another
- G••••••• F•••••••• A•••• M••••••••• I•• to A••••••••• I•••left Jul 31, 2008, registered Jul 31, 2008 (0 days) · Other
- J••• H•••••• D••••••••• L•• to G••••••• F•••••••• A•••• M••••••••• I••left Dec 2, 2004, registered Jun 10, 2005 (190 days) · Other
- C•••••••• G••••• M•••••• I••• to J••• H•••••• D••••••••• L••left Sep 11, 2002, registered Jul 29, 2004 (687 days) · Other
- J• S•••• G••••• left A••••••••• I••• for O•••• W•••••• I••• (registered 2023-12-14)Oct 31, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address