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.
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C••••• A• G•••••
- O••••••••• • C•• I••• BD affiliated currentsince Oct 16, 2023 · Houston, Tx
- M••••• S•••••• wirehouseMay 13, 2021 to Oct 17, 2023 · Houston, Tx
- W•••• F•••• A••••••• wirehouseMay 15, 2015 to May 17, 2021 · Houston, Tx
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to May 27, 2015 · Houston, Tx
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Oct 1, 2012 · Houston, Tx
- B••• O•• S••••••••• C••••••••• unclassifiedJun 20, 2003 to Jul 6, 2005 · Katy, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 6, 2003 to Apr 22, 2003 · Mcallen, Tx
- M••••• S•••••• to O••••••••• • C•• I•••left Oct 17, 2023, registered Oct 16, 2023 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M••••• S••••••left May 17, 2021, registered May 13, 2021 (-4 days) · Wirehouse to wirehouse · moved with a team
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left May 27, 2015, registered May 15, 2015 (-12 days) · Wirehouse to wirehouse · moved with a team
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• O•• S••••••••• C•••••••••left Apr 22, 2003, registered Jun 20, 2003 (59 days) · Other
- C••••• A• G••••• left M••••• S•••••• for O••••••••• • C•• I••• (registered 2023-10-16)Oct 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