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.
P•••• F•••••••• A••••••
- G••••••• W••••• M••••••••• BD affiliated currentsince Jan 3, 2022 · Houston, Tx
- O• I••••••••• M••••••••• C• BD affiliatedSep 7, 2016 to Dec 31, 2021 · Houston, Tx
- S•••••••• F••••••••• I••• formerFeb 25, 2014 to Jan 11, 2016 · Scottsdale, Az
- W••••• D••••••••• S••••••••• I••••••••• A•••••••• I••• state registeredMar 16, 2010 to Dec 31, 2011
- H•••••• T••••••• • K•••• L•• independent RIANov 23, 2009 to Nov 8, 2013 · Houston, Tx
- P•••• S••••••••• L•• no RAUMFeb 1, 2006 to May 15, 2009 · Houston, Tx
- V•••• F•••••••• A•••••••• I••• BD affiliatedJul 2, 1999 to Aug 3, 2005 · Houston, Tx
- O• I••••••••• M••••••••• C• to G••••••• W••••• M•••••••••left Dec 31, 2021, registered Jan 3, 2022 (3 days) · Affiliated broker-dealer or bank to another
- S•••••••• F••••••••• I••• to O• I••••••••• M••••••••• C•left Jan 11, 2016, registered Sep 7, 2016 (240 days) · Other
- H•••••• T••••••• • K•••• L•• to W••••• D••••••••• S••••••••• I••••••••• A•••••••• I•••left Nov 8, 2013, registered Mar 16, 2010 (-1333 days) · Other
- W••••• D••••••••• S••••••••• I••••••••• A•••••••• I••• to S•••••••• F••••••••• I•••left Dec 31, 2011, registered Feb 25, 2014 (787 days) · Other
- P•••• S••••••••• L•• to H•••••• T••••••• • K•••• L••left May 15, 2009, registered Nov 23, 2009 (192 days) · Other
- V•••• F•••••••• A•••••••• I••• to P•••• S••••••••• L••left Aug 3, 2005, registered Feb 1, 2006 (182 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address