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•••••• T••• P•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Cypress, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDNov 11, 2010 to Jul 13, 2018 · Houston, Tx
- V•••• F•••••••• A•••••••• I••• BD affiliatedOct 14, 2010 to Oct 20, 2010 · Houston, Tx
- R••••••• C••••• A••••••• S••••••• formerJun 7, 2010 to Oct 13, 2010 · Cypress, Tx
- L•• F•••••••• L•• BD affiliatedFeb 20, 2009 to May 18, 2010 · Cypress, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 9, 2008 to Jan 2, 2009 · Houston, Tx
- E••••• J•••• national BDAug 28, 2007 to Aug 30, 2007 · St Louis, Mo
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- V•••• F•••••••• A•••••••• I••• to S•••••••• A••••••• L••left Oct 20, 2010, registered Nov 11, 2010 (22 days) · Other
- R••••••• C••••• A••••••• S••••••• to V•••• F•••••••• A•••••••• I•••left Oct 13, 2010, registered Oct 14, 2010 (1 days) · Other
- L•• F•••••••• L•• to R••••••• C••••• A••••••• S•••••••left May 18, 2010, registered Jun 7, 2010 (20 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Jan 2, 2009, registered Feb 20, 2009 (49 days) · Other
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 30, 2007, registered Jan 9, 2008 (132 days) · Affiliated broker-dealer or bank to wirehouse
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address