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•••• M•••••• M•••••••
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · Friendswood, Tx
- S•••••••• F••••••••• I••• formerMay 2, 2017 to Sep 1, 2023 · Friendswood, Tx
- O•••• F•• I••• formerNov 13, 2009 to May 15, 2017 · Houston, Tx
- W••••••• F•••••••• S•••••••• I••• formerFeb 25, 2004 to Nov 18, 2009 · League City, Tx
- O••••••••• S••••••••• I••• BD affiliatedFeb 11, 2003 to Dec 19, 2003 · Indianapolis, In
- L•• F•••••••• L•• BD affiliatedJun 25, 2002 to Feb 22, 2003 · League City, Tx
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- O•••• F•• I••• to S•••••••• F••••••••• I•••left May 15, 2017, registered May 2, 2017 (-13 days) · Other
- W••••••• F•••••••• S•••••••• I••• to O•••• F•• I•••left Nov 18, 2009, registered Nov 13, 2009 (-5 days) · Other
- O••••••••• S••••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Dec 19, 2003, registered Feb 25, 2004 (68 days) · Other
- L•• F•••••••• L•• to O••••••••• S••••••••• I•••left Feb 22, 2003, registered Feb 11, 2003 (-11 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address