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••• M•••••• P•••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Oct 10, 2023 · The Woodlands, Tx
- R•••••• J•••• • A••••••••• I••• national BDSep 6, 2016 to Oct 16, 2023 · Houston, Tx
- D••••••• B••• S••••••••• I••• no RAUMMay 10, 2013 to Sep 6, 2016 · Houston, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 7, 2013 · The Woodlands, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 8, 2008 to Jun 1, 2009 · The Woodlands, Tx
- U•• F•••••••• S••••••• I••• wirehouseApr 2, 2003 to Apr 14, 2008 · Houston, Tx
- R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 16, 2023, registered Oct 10, 2023 (-6 days) · Affiliated broker-dealer or bank to another
- D••••••• B••• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Sep 6, 2016, registered Sep 6, 2016 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to D••••••• B••• S••••••••• I•••left Jun 7, 2013, registered May 10, 2013 (-28 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left Apr 14, 2008, registered Apr 8, 2008 (-6 days) · Other
- M••• M•••••• P••• left R•••••• J•••• • A••••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-10-10)Oct 16, 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address