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••••••• P••••••
- P••• A••••• S••••••••• L•• BD affiliated currentsince Apr 21, 2023 · Austin, Tx
- A•••• F•••••••• P•••••• C••••• G•••• state registeredMay 6, 2021 to Apr 12, 2023 · Cedar Park, Tx
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAOct 29, 2018 to May 30, 2019 · Houston, Tx
- A•••• F•••••••• P•••••• C••••• G•••• to P••• A••••• S••••••••• L••left Apr 12, 2023, registered Apr 21, 2023 (9 days) · Other
- M••••• O• O•••• I••••••• S•••••••• I••• to A•••• F•••••••• P•••••• C••••• G••••left May 30, 2019, registered May 6, 2021 (707 days) · Other
- C••••• M••••••• P•••••• left A•••• F•••••••• P•••••• C••••• G•••• for P••• A••••• S••••••••• L•• (registered 2023-04-21)Apr 12, 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address