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.
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- M•• I•••••••• S•••••••• L•• BD affiliated currentsince May 18, 2023 · Houston, Tx
- O•• H•••••• I••••••••• S••••••• independent RIADec 16, 2021 to May 3, 2023 · Houston, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedOct 20, 2011 to Dec 6, 2021 · Houston, Tx
- O•• H•••••• I••••••••• S••••••• to M•• I•••••••• S•••••••• L••left May 3, 2023, registered May 18, 2023 (15 days) · RIA to affiliated broker-dealer or bank
- M•• I•••••••• S•••••••• L•• to O•• H•••••• I••••••••• S•••••••left Dec 6, 2021, registered Dec 16, 2021 (10 days) · Affiliated broker-dealer or bank to independent RIA
- A••• V• D••••••••• left O•• H•••••• I••••••••• S••••••• for M•• I•••••••• S•••••••• L•• (registered 2023-05-18)May 3, 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address