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.
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K•••• V••••• G••••••
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2022 · Houston, Tx
- C••• B•••••••• S•••••••• I••• formerDec 5, 2018 to May 18, 2022 · Waverly, Ia
- A••••••••• F•••••••• S•••••••• L•• national BDJun 22, 2018 to Nov 21, 2018 · Sugar Land, Tx
- I••••••••• P••••••••• I••• formerNov 16, 2015 to Sep 24, 2018 · Sugar Land, Tx
- C••• B•••••••• S•••••••• I••• formerDec 18, 2009 to Nov 17, 2015 · Houston, Tx
- L•• F•••••••• L•• BD affiliatedAug 23, 2006 to Nov 13, 2009 · Stafford, Tx
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to C••• B•••••••• S•••••••• I•••left Nov 21, 2018, registered Dec 5, 2018 (14 days) · Affiliated broker-dealer or bank to independent RIA
- I••••••••• P••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 24, 2018, registered Jun 22, 2018 (-94 days) · corporate re-registration, not a move
- C••• B•••••••• S•••••••• I••• to I••••••••• P••••••••• I•••left Nov 17, 2015, registered Nov 16, 2015 (-1 days) · Other
- L•• F•••••••• L•• to C••• B•••••••• S•••••••• I•••left Nov 13, 2009, registered Dec 18, 2009 (35 days) · Other
- K•••• V••••• G•••••• no longer holds an investment adviser registration (last listed at L•• F•••••••• L•• on the 2026-09-18 feed)Sep 18, 2026 · Advisor registration ended · derived
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address