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•••••• F•••••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Houston, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 7, 2023 to Mar 31, 2025 · Houston, Tx
- C•••••••• G••••• I••••••••• I••• mixed wealthOct 14, 2010 to Nov 21, 2011 · Houston, Tx
- B• R•••• W••••• M••••••••• formerApr 22, 2008 to Feb 22, 2010 · Houston, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 27, 2008 to Apr 7, 2008 · Houston, Tx
- W•••• F•••• I••••••••• L•• unclassifiedAug 15, 2007 to Nov 7, 2007 · Houston, Tx
- U•• I••••••••• I••• unclassifiedNov 26, 2002 to Mar 7, 2007 · Houston, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• I••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Nov 21, 2011, registered Sep 7, 2023 (4308 days) · Other
- B• R•••• W••••• M••••••••• to C•••••••• G••••• I••••••••• I•••left Feb 22, 2010, registered Oct 14, 2010 (234 days) · Other
- C•••••••• G••••• M•••••• I••• to B• R•••• W••••• M•••••••••left Apr 7, 2008, registered Apr 22, 2008 (15 days) · Other
- W•••• F•••• I••••••••• L•• to C•••••••• G••••• M•••••• I•••left Nov 7, 2007, registered Feb 27, 2008 (112 days) · Other
- U•• I••••••••• I••• to W•••• F•••• I••••••••• L••left Mar 7, 2007, registered Aug 15, 2007 (161 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address