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••• H••• C•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 3, 2023 · Houston, Tx
- C••••••• S••••••••• formerAug 17, 2021 to Nov 3, 2023 · Houston, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 9, 2015 to Apr 21, 2021 · Houston, Tx
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Sep 30, 2015 · Charlotte, Nc
- W•••• F•••• I••••••••• L•• unclassifiedSep 30, 2004 to Jan 3, 2011 · Houston, Tx
- C•••• I••••••••• S••••••• C•••• formerJul 13, 2004 to Aug 25, 2004 · Houston, Tx
- C•••• I••••••••• S••••••• C•••• formerNov 23, 2001 to May 24, 2004 · Houston, Tx
- C••••••• S••••••••• to A••••••••• F•••••••• S•••••••• L••left Nov 3, 2023, registered Nov 3, 2023 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to C••••••• S•••••••••left Apr 21, 2021, registered Aug 17, 2021 (118 days) · Other
- W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••left Sep 30, 2015, registered Nov 9, 2015 (40 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• I••••••••• L••left Aug 25, 2004, registered Sep 30, 2004 (36 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address