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.
H••••• S•••• J••••
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Feb 13, 2026 · Saint Paul, Mn
- U••• B•••••• I••••••••• I••• formerJan 10, 2022 to Feb 13, 2026 · Houston, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerAug 7, 2020 to May 4, 2021 · Houston, Tx
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Mar 30, 2020 · Houston, Tx
- C•••• I••••••••• S••••••• C•••• formerDec 8, 2009 to Oct 1, 2012 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Dec 2, 2009 · Houston, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 11, 2007 to Oct 23, 2009 · Houston, Tx
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
- P•• M•••••• A•••••• S••••••••• I••• to U••• B•••••• I••••••••• I•••left May 4, 2021, registered Jan 10, 2022 (251 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to P•• M•••••• A•••••• S••••••••• I•••left Mar 30, 2020, registered Aug 7, 2020 (130 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••left Dec 2, 2009, registered Dec 8, 2009 (6 days) · Other
- 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
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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address