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•••••• independent RIA currentsince Jul 14, 2026 · Houston, Tx
- C•••••• A•••••••• I••• formerJan 2, 2019 to Jul 17, 2026 · Houston, Tx
- B•••••••• A•••• M••••••••• L•• independent RIAFeb 17, 2016 to Dec 20, 2018 · Houston, Tx
- S••••••••• L•• unclassifiedNov 1, 2011 to Dec 19, 2018 · Boise, Id
- C•••••• S••••• • C••• I••• national BDMar 12, 2003 to Sep 13, 2010 · The Woodlands, Tx
- E•••••••• A•••••••• L•• national BDFeb 12, 1998 to Mar 4, 2003 · Houston, Tx
- C•••••• A•••••••• I••• to C••••••left Jul 17, 2026, registered Jul 14, 2026 (-3 days) · corporate re-registration, not a move
- B•••••••• A•••• M••••••••• L•• to C•••••• A•••••••• I•••left Dec 20, 2018, registered Jan 2, 2019 (13 days) · RIA to RIA
- S••••••••• L•• to B•••••••• A•••• M••••••••• L••left Dec 19, 2018, registered Feb 17, 2016 (-1036 days) · Other
- C•••••• S••••• • C••• I••• to S••••••••• L••left Sep 13, 2010, registered Nov 1, 2011 (414 days) · Other
- E•••••••• A•••••••• L•• to C•••••• S••••• • C••• I•••left Mar 4, 2003, registered Mar 12, 2003 (8 days) · Affiliated broker-dealer or bank to another
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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address