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•••• D•••• W••••••••
- R•• C•••••• M••••••• L•• national BD currentsince Jul 22, 2025 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 29, 2010 to Nov 11, 2019 · Houston, Tx
- U••• A•••• M••••••••• L•• asset managerMar 4, 2008 to Nov 22, 2010 · Houston, Tx
- H••••••••• P•••••••• L•• unclassifiedSep 27, 2004 to May 23, 2008 · Houston, Tx
- N•••••••• B••••• B• L•• no RAUMAug 18, 2003 to Sep 1, 2004 · Houston, Tx
- B••••••• G•••• L•• unclassifiedDec 5, 2000 to Oct 1, 2003 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••left Nov 11, 2019, registered Jul 22, 2025 (2080 days) · Wirehouse to affiliated broker-dealer or bank
- U••• A•••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 22, 2010, registered Mar 29, 2010 (-238 days) · Other
- H••••••••• P•••••••• L•• to U••• A•••• M••••••••• L••left May 23, 2008, registered Mar 4, 2008 (-80 days) · Other
- N•••••••• B••••• B• L•• to H••••••••• P•••••••• L••left Sep 1, 2004, registered Sep 27, 2004 (26 days) · Other
- B••••••• G•••• L•• to N•••••••• B••••• B• L••left Oct 1, 2003, registered Aug 18, 2003 (-44 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address