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.
R••••• M••••• W•••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · Houston, Tx
- W••••••• F•••••••• S•••••••• I••• formerJan 5, 2022 to Jan 19, 2024 · Mckinney, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDAug 12, 2011 to Jan 10, 2022 · Houston, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to Aug 17, 2011 · Sugar Land, Tx
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Sugarland, Tx
- M••••• S•••••• D• I••• unclassifiedJul 1, 2005 to Apr 2, 2007 · The Woodlands, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 7, 2002 to Jul 6, 2005 · Dallas, Tx
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Jan 10, 2022, registered Jan 5, 2022 (-5 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Aug 17, 2011, registered Aug 12, 2011 (-5 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• D• I•••left Jul 6, 2005, registered Jul 1, 2005 (-5 days) · Other
- R••••• M••••• W••••• left A••••••••• F•••••••• S•••••••• L•• for W••••••• F•••••••• S•••••••• I••• (registered 2022-01-05)Jan 10, 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address