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.
M•••••• B•••• M••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 15, 2023 · Cypress, Tx
- S•••••••• F••••••••• I••• formerAug 30, 2018 to Aug 21, 2023 · Houston, Tx
- V•• A•••••••• L•• unclassifiedFeb 16, 2012 to Dec 31, 2023 · Houston, Tx
- N••• F•••••••• G••••• I••• formerApr 17, 2007 to Aug 30, 2018 · Houston, Tx
- W••••• D••••••••• S••••••••• I••••••••• A•••••••• I••• state registeredSep 18, 2006 to Jan 9, 2008 · Houston, Tx
- 1••• C•••••• M••••••••• C•••••• unclassifiedNov 19, 2004 to May 15, 2007 · Houston, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDJul 31, 2002 to Oct 18, 2004 · Houston, Tx
- V•• A•••••••• L•• to S•••••••• F••••••••• I•••left Dec 31, 2023, registered Aug 30, 2018 (-1949 days) · Other
- S•••••••• F••••••••• I••• to L•• F•••••••• L••left Aug 21, 2023, registered Aug 15, 2023 (-6 days) · Affiliated broker-dealer or bank to another
- N••• F•••••••• G••••• I••• to V•• A•••••••• L••left Aug 30, 2018, registered Feb 16, 2012 (-2387 days) · Other
- W••••• D••••••••• S••••••••• I••••••••• A•••••••• I••• to N••• F•••••••• G••••• I•••left Jan 9, 2008, registered Apr 17, 2007 (-267 days) · Other
- 1••• C•••••• M••••••••• C•••••• to W••••• D••••••••• S••••••••• I••••••••• A•••••••• I•••left May 15, 2007, registered Sep 18, 2006 (-239 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to 1••• C•••••• M••••••••• C••••••left Oct 18, 2004, registered Nov 19, 2004 (32 days) · Other
- M•••••• B•••• M•••••• left V•• A•••••••• L•• for S•••••••• F••••••••• I••• (registered 2018-08-30)Dec 31, 2023 · Advisor changed firm · fact
- M•••••• B•••• M•••••• left S•••••••• F••••••••• I••• for L•• F•••••••• L•• (registered 2023-08-15)Aug 21, 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address