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.
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- O••••••• independent RIA currentsince May 25, 2022 · Beachwood, Oh
- W•••• F•••• A••••••• wirehouseFeb 28, 2019 to May 2, 2022 · Houston, Tx
- M••••• S•••••• wirehouseJun 8, 2011 to Mar 29, 2019 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Jun 10, 2011 · Houston, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJul 9, 2007 to Oct 23, 2009 · Houston, Tx
- L•• F•••••••• L•• BD affiliatedMar 17, 2006 to Jul 25, 2007 · Sugarland, Tx
- W•••• F•••• A••••••• to O•••••••left May 2, 2022, registered May 25, 2022 (23 days) · Wirehouse to independent RIA
- M••••• S•••••• to W•••• F•••• A•••••••left Mar 29, 2019, registered Feb 28, 2019 (-29 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jun 10, 2011, registered Jun 8, 2011 (-2 days) · Wirehouse to wirehouse
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jul 25, 2007, registered Jul 9, 2007 (-16 days) · Other
- S••• P•••••• M•••••• left W•••• F•••• A••••••• for Oneseven (registered 2022-05-25)May 2, 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
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address