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.
T••••• A•• D•••••
- A•••••••• P•••••••• L•• independent RIA currentsince Nov 9, 2022 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 19, 2015 to Oct 11, 2022 · Houston, Tx
- B••••••• C•••••• I••• formerJun 22, 2009 to Jul 7, 2015 · Houston, Tx
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Jun 22, 2009 · The Woodlands, Tx
- A• G• E•••••• • S•••• I••• unclassifiedMar 12, 2007 to Jan 1, 2008 · St. Louis, Mo
- J••• M••••• S••••••••• I••• unclassifiedOct 5, 2006 to Feb 1, 2007 · The Woodlands, Tx
- M••••• S•••••• D• I••• unclassifiedAug 16, 2005 to May 17, 2006 · The Woodlands, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A•••••••• P•••••••• L••left Oct 11, 2022, registered Nov 9, 2022 (29 days) · Wirehouse to independent RIA
- B••••••• C•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 7, 2015, registered Aug 19, 2015 (43 days) · Other · moved with a team
- W•••• F•••• A••••••• to B••••••• C•••••• I•••left Jun 22, 2009, registered Jun 22, 2009 (0 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• I••• to A• G• E•••••• • S•••• I•••left Feb 1, 2007, registered Mar 12, 2007 (39 days) · Other
- M••••• S•••••• D• I••• to J••• M••••• S••••••••• I•••left May 17, 2006, registered Oct 5, 2006 (141 days) · Other
- Tamara Ann Dupont left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Americana Partners, Llc (registered 2022-11-09)Oct 11, 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address