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.
D•••• A•••• T•••••
- B•••• I••••••••• A•••••••• L•• independent RIA currentsince Aug 1, 2019 · The W•••Lands, Tx
- K••••• A••••••• S•••••••• L•• BD affiliatedApr 20, 2016 to Aug 2, 2019 · Houston, Tx
- N•• A•••••• S•••••••• L•• formerApr 24, 2014 to Sep 22, 2016 · Houston, Tx
- R••••• W• B•••• • C•• I••••••••• mixed wealthMay 23, 2011 to Mar 13, 2014 · Houston, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDOct 5, 2009 to May 25, 2011 · Friendsw•••, Tx
- A••••••••• A•••••• S•••••••• I••• unclassifiedMay 21, 2009 to Oct 5, 2009 · Friendsw•••, Tx
- U•• F•••••••• S••••••• I••• wirehouseFeb 24, 2006 to Jun 4, 2009 · Houston, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Mar 23, 2006 · New York, Ny
- L••• M•••• W••• W•••••• I••••••••• unclassifiedMay 28, 2004 to Feb 21, 2006 · Houston, Tx
- K••••• A••••••• S•••••••• L•• to B•••• I••••••••• A•••••••• L••left Aug 2, 2019, registered Aug 1, 2019 (-1 days) · Affiliated broker-dealer or bank to independent RIA
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 22, 2016, registered Apr 20, 2016 (-155 days) · corporate re-registration, not a move
- R••••• W• B•••• • C•• I••••••••• to N•• A•••••• S•••••••• L••left Mar 13, 2014, registered Apr 24, 2014 (42 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to R••••• W• B•••• • C•• I•••••••••left May 25, 2011, registered May 23, 2011 (-2 days) · Other
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to A••••••••• A•••••• S•••••••• I•••left Jun 4, 2009, registered May 21, 2009 (-14 days) · Other
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Mar 23, 2006, registered Feb 24, 2006 (-27 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address