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.
A••• T••• D•••
- L•• F•••••••• L•• BD affiliated currentsince Jul 10, 2025 · Henderson, Tx
- N••• F•••••••• G••••• I••• formerApr 2, 2008 to Jul 10, 2025 · Houston, Tx
- C•• S••••••••• L•• formerOct 25, 2007 to Apr 4, 2008 · Austin, Tx
- M••••••• A•••••••• I•• unclassifiedMay 27, 2003 to Sep 10, 2008 · Austin, Tx
- S••••••• F•••••••• S•••••••• I••• formerJun 24, 2002 to Apr 4, 2008 · Austin, Tx
- N••• F•••••••• G••••• I••• to L•• F•••••••• L••left Jul 10, 2025, registered Jul 10, 2025 (0 days) · corporate re-registration, not a move
- M••••••• A•••••••• I•• to C•• S••••••••• L••left Sep 10, 2008, registered Oct 25, 2007 (-321 days) · Other
- S••••••• F•••••••• S•••••••• I••• to M••••••• A•••••••• I••left Apr 4, 2008, registered May 27, 2003 (-1774 days) · Other
- C•• S••••••••• L•• to N••• F•••••••• G••••• I•••left Apr 4, 2008, registered Apr 2, 2008 (-2 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address