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.
J••• G•••••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 24, 2025 · Houston, Tx
- O•••• F•• I••• formerApr 12, 2021 to Jan 24, 2025 · Houston, Tx
- O•••• F•• I••• formerDec 21, 2020 to Dec 22, 2020 · Houston, Tx
- P•••••••• S••••••••• I••• BD affiliatedNov 18, 2014 to Nov 24, 2020 · Houston, Tx
- R•••••• J•••• • A••••••••• I••• national BDJan 14, 2011 to Dec 20, 2013 · Houston, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to Dec 22, 2010 · Houston, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 9, 2007 to Jun 1, 2009 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 8, 1999 to Nov 23, 2007 · Houston, Tx
- O•••• F•• I••• to O•••• W•••••• I•••left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
- P•••••••• S••••••••• I••• to O•••• F•• I•••left Nov 24, 2020, registered Dec 21, 2020 (27 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• • A••••••••• I••• to P•••••••• S••••••••• I•••left Dec 20, 2013, registered Nov 18, 2014 (333 days) · Other
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Dec 22, 2010, registered Jan 14, 2011 (23 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Nov 23, 2007, registered Nov 9, 2007 (-14 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