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••••••••• L•• P•••••
- H•••••••• A•••••••• L•• BD affiliated currentsince Jul 20, 2021 · Houston, Tx
- C•••••••• P•••••• W••••• L•• independent RIAMay 31, 2019 to Mar 23, 2020 · Boerne, Tx
- A••••••• W••••• M••••••••• L•• independent RIADec 7, 2017 to Sep 30, 2019 · West Lake Hills, Tx
- S•• P•••••• W••••• H•••••••• L•• formerJan 26, 2016 to Nov 18, 2016 · Houston, Tx
- L•• F•••••••• L•• BD affiliatedJul 26, 2012 to Sep 22, 2015 · Richmond, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerNov 8, 2010 to Aug 2, 2012 · Houston, Tx
- H••••••••• P•••••••• L•• unclassifiedSep 10, 2007 to May 23, 2008 · Houston, Tx
- C•••••••• P•••••• W••••• L•• to H•••••••• A•••••••• L••left Mar 23, 2020, registered Jul 20, 2021 (484 days) · RIA to affiliated broker-dealer or bank
- A••••••• W••••• M••••••••• L•• to C•••••••• P•••••• W••••• L••left Sep 30, 2019, registered May 31, 2019 (-122 days) · RIA to RIA · moved with a team
- S•• P•••••• W••••• H•••••••• L•• to A••••••• W••••• M••••••••• L••left Nov 18, 2016, registered Dec 7, 2017 (384 days) · Other
- L•• F•••••••• L•• to S•• P•••••• W••••• H•••••••• L••left Sep 22, 2015, registered Jan 26, 2016 (126 days) · Other
- P•• M•••••• A•••••• S••••••••• I••• to L•• F•••••••• L••left Aug 2, 2012, registered Jul 26, 2012 (-7 days) · Other
- H••••••••• P•••••••• L•• to P•• M•••••• A•••••• S••••••••• I•••left May 23, 2008, registered Nov 8, 2010 (899 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address