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•••••• A••• K•••••
- O••••••••• • C•• I••• BD affiliated currentsince Jul 25, 2023 · The Woodlands, Tx
- J••• M••••• S••••••••• L•• wirehouseMar 24, 2023 to Jul 22, 2023 · Houston, Tx
- O••••••••• • C•• I••• BD affiliatedOct 27, 2010 to Mar 17, 2023 · The Woodlands, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 27, 2010 · The Woodlands, Tx
- M••••• S•••••• • C•• L•• unclassifiedFeb 5, 2009 to Jun 1, 2009 · The Woodlands, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 27, 2004 to Jan 22, 2009 · Kingwood, Tx
- J••• M••••• S••••••••• L•• to O••••••••• • C•• I•••left Jul 22, 2023, registered Jul 25, 2023 (3 days) · Wirehouse to affiliated broker-dealer or bank
- O••••••••• • C•• I••• to J••• M••••• S••••••••• L••left Mar 17, 2023, registered Mar 24, 2023 (7 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to O••••••••• • C•• I•••left Oct 27, 2010, registered Oct 27, 2010 (0 days) · Other
- M••••• S•••••• • C•• L•• 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 M••••• S•••••• • C•• L••left Jan 22, 2009, registered Feb 5, 2009 (14 days) · Other
- C•••••• A••• K••••• left J••• M••••• S••••••••• L•• for O••••••••• • C•• I••• (registered 2023-07-25)Jul 22, 2023 · Advisor changed firm · fact
- C•••••• A••• K••••• left O••••••••• • C•• I••• for J••• M••••• S••••••••• L•• (registered 2023-03-24)Mar 17, 2023 · Advisor changed firm · fact
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address