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•• T•••••• B••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Apr 4, 2025 · Houston, Tx
- B• R•••• W••••• A•••••••• I••• BD affiliatedJul 28, 2022 to Apr 7, 2025 · Houston, Tx
- B• R•••• W••••• M••••••••• formerSep 8, 2015 to Dec 31, 2022 · Houston, Tx
- H•••••• S••••••••• I••• BD affiliatedJun 22, 2009 to Oct 7, 2015 · Houston, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 26, 2009 · Houston, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Jun 1, 2009 · Houston, Tx
- L••• M•••• W••• W•••••• I••••••••• unclassifiedJul 8, 1993 to Feb 21, 2006 · Houston, Tx
- B• R•••• W••••• A•••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Apr 7, 2025, registered Apr 4, 2025 (-3 days) · corporate re-registration, not a move
- B• R•••• W••••• M••••••••• to B• R•••• W••••• A•••••••• I•••left Dec 31, 2022, registered Jul 28, 2022 (-156 days) · corporate re-registration, not a move
- H•••••• S••••••••• I••• to B• R•••• W••••• M•••••••••left Oct 7, 2015, registered Sep 8, 2015 (-29 days) · Other · moved with a team
- M••••• S•••••• to H•••••• S••••••••• I•••left Jun 26, 2009, registered Jun 22, 2009 (-4 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
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
- 47derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address