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.
- F••••• I••••••••• independent RIA currentsince Dec 10, 2022 · Plano, Tx
- S•••••••• I••••••••• M••••••••• formerJan 24, 2017 to Mar 9, 2018 · Saint Louis, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 10, 2014 to Jun 2, 2015 · Sugarland, Tx
- N••• F•••••••• G••••• I••• formerFeb 19, 2014 to Nov 12, 2014 · Houston, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 11, 2007 to Feb 24, 2014 · Houston, Tx
- T• A••••••••• I••• formerMay 11, 2007 to Feb 24, 2014 · Houston, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDOct 20, 2003 to May 1, 2007 · Houston, Tx
- S•••••••• I••••••••• M••••••••• to F••••• I•••••••••left Mar 9, 2018, registered Dec 10, 2022 (1737 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• I••••••••• M•••••••••left Jun 2, 2015, registered Jan 24, 2017 (602 days) · Other
- N••• F•••••••• G••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 12, 2014, registered Dec 10, 2014 (28 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 24, 2014, registered May 11, 2007 (-2481 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Feb 24, 2014, registered May 11, 2007 (-2481 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left May 1, 2007, registered May 11, 2007 (10 days) · Other
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address