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.
D••••••• V• D••••
- O• I••••••••• M••••••••• C• BD affiliated currentsince Mar 19, 2025 · Sugar Land, Tx
- I•••••••• A•••••••• L•• BD affiliatedJun 29, 2021 to Sep 14, 2022 · Des Moines, Ia
- V•••• F•••••••• A•••••••• I••• BD affiliatedApr 23, 2014 to Feb 20, 2020 · Houston, Tx
- I•••••• A•••••••• I••• asset managerJan 1, 2010 to Jul 15, 2013 · Atlanta, Ga
- I•••••• A•• P•••••• A•••• M••••••••• I••• unclassifiedSep 14, 2005 to Jan 1, 2010 · Houston, Tx
- I•••••••• A•••••••• L•• to O• I••••••••• M••••••••• C•left Sep 14, 2022, registered Mar 19, 2025 (917 days) · RIA to affiliated broker-dealer or bank
- V•••• F•••••••• A•••••••• I••• to I•••••••• A•••••••• L••left Feb 20, 2020, registered Jun 29, 2021 (495 days) · Affiliated broker-dealer or bank to independent RIA
- I•••••• A•••••••• I••• to V•••• F•••••••• A•••••••• I•••left Jul 15, 2013, registered Apr 23, 2014 (282 days) · Other
- I•••••• A•• P•••••• A•••• M••••••••• I••• to I•••••• A•••••••• I•••left Jan 1, 2010, registered Jan 1, 2010 (0 days) · corporate re-registration, not a move
- D••••••• V• D•••• left I•••••••• A•••••••• L•• for O• I••••••••• M••••••••• C• (registered 2025-03-19)Sep 14, 2022 · 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