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.
L•••••• C• R••••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Kingwood, Tx
- S••••••••• A•••••• A•••••••• I••• formerDec 17, 2021 to Jun 14, 2024 · Humble, Tx
- P•• W••••• M••••••••• BD affiliatedAug 18, 2021 to Dec 24, 2021 · Kingwood, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerNov 8, 2013 to Aug 17, 2021 · Humble, Tx
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Nov 5, 2013 · Houston, Tx
- C•••• I••••••••• S••••••• C•••• formerApr 20, 2011 to Oct 1, 2012 · Humble, Tx
- E••••• J•••• national BDAug 24, 2009 to Apr 12, 2011 · Baytown, Tx
- 1•• G••••• A••••••• I•• formerJan 22, 2008 to Aug 21, 2009 · Baytown, Tx
- L•• F•••••••• L•• BD affiliatedAug 16, 2006 to Jan 8, 2008 · Houston, Tx
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to S••••••••• A•••••• A•••••••• I•••left Dec 24, 2021, registered Dec 17, 2021 (-7 days) · Affiliated broker-dealer or bank to another
- P•• M•••••• A•••••• S••••••••• I••• to P•• W••••• M•••••••••left Aug 17, 2021, registered Aug 18, 2021 (1 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to P•• M•••••• A•••••• S••••••••• I•••left Nov 5, 2013, registered Nov 8, 2013 (3 days) · Other
- 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
- E••••• J•••• to C•••• I••••••••• S••••••• C••••left Apr 12, 2011, registered Apr 20, 2011 (8 days) · Other
- 1•• G••••• A••••••• I•• to E••••• J••••left Aug 21, 2009, registered Aug 24, 2009 (3 days) · Other
- L•• F•••••••• L•• to 1•• G••••• A••••••• I••left Jan 8, 2008, registered Jan 22, 2008 (14 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address