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••••••••• M•••••• B••••••••
- L•• E••••••••• L•• BD affiliated currentsince Sep 22, 2025 · Houston, Tx
- E••••• J•••• national BDApr 12, 2024 to Aug 1, 2025 · Missouri City, Tx
- A••••••• F•••••••• A•••••••• L•• BD affiliatedJan 27, 2023 to Apr 12, 2024 · Sugar Land, Tx
- P•••• S••••••••• L•• no RAUMJan 28, 2021 to Aug 1, 2022 · Sugarland, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedSep 17, 2020 to Dec 21, 2020 · Houston, Tx
- E•••••• C•••••• M••••••••• L•• formerAug 8, 2014 to Sep 3, 2020 · Arlington, Va
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 7, 2014 · Houston, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 3, 2007 to Jun 1, 2009 · Houston, Tx
- E••••• J•••• to L•• E••••••••• L••left Aug 1, 2025, registered Sep 22, 2025 (52 days) · Affiliated broker-dealer or bank to another
- A••••••• F•••••••• A•••••••• L•• to E••••• J••••left Apr 12, 2024, registered Apr 12, 2024 (0 days) · Affiliated broker-dealer or bank to another
- P•••• S••••••••• L•• to A••••••• F•••••••• A•••••••• L••left Aug 1, 2022, registered Jan 27, 2023 (179 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to P•••• S••••••••• L••left Dec 21, 2020, registered Jan 28, 2021 (38 days) · Affiliated broker-dealer or bank to another
- E•••••• C•••••• M••••••••• L•• to M•• I•••••••• S•••••••• L••left Sep 3, 2020, registered Sep 17, 2020 (14 days) · RIA to affiliated broker-dealer or bank
- M••••• S•••••• to E•••••• C•••••• M••••••••• L••left Jul 7, 2014, registered Aug 8, 2014 (32 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- C••••••••• M•••••• B•••••••• left E••••• J•••• for L•• E••••••••• L•• (registered 2025-09-22)Aug 1, 2025 · Advisor changed firm · fact
- C••••••••• M•••••• B•••••••• left A••••••• F•••••••• A•••••••• L•• for E••••• J•••• (registered 2024-04-12)Apr 12, 2024 · Advisor changed firm · fact
- C••••••••• M•••••• B•••••••• left P•••• S••••••••• L•• for A••••••• F•••••••• A•••••••• L•• (registered 2023-01-27)Aug 1, 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address