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.
M•••• M•••• H••••••
- C••••••••• I••••••••• A•••••••• L•• independent RIA currentsince Apr 25, 2023 · Houston, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 13, 2022 to May 18, 2023 · Houston, Tx
- W•••• F•••• A••••••• wirehouseMay 24, 2018 to Jan 19, 2022 · Houston, Tx
- I•••••• A•••••••• I••• asset managerJul 21, 2011 to Nov 20, 2014 · Atlanta, Ga
- A••••••• A•••• M••••••••• I••• mixed wealthDec 18, 2006 to Dec 6, 2010 · Boerne, Tx
- C••••••••• F•••••••• N•••••• national BDFeb 24, 2006 to Dec 19, 2006 · San Antonio, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••••••••• I••••••••• A•••••••• L••left May 18, 2023, registered Apr 25, 2023 (-23 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 19, 2022, registered Jan 13, 2022 (-6 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- I•••••• A•••••••• I••• to W•••• F•••• A•••••••left Nov 20, 2014, registered May 24, 2018 (1281 days) · Other
- A••••••• A•••• M••••••••• I••• to I•••••• A•••••••• I•••left Dec 6, 2010, registered Jul 21, 2011 (227 days) · Other
- C••••••••• F•••••••• N•••••• to A••••••• A•••• M••••••••• I•••left Dec 19, 2006, registered Dec 18, 2006 (-1 days) · Other
- M•••• M•••• H•••••• left W•••• F•••• A••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2022-01-13)Jan 19, 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address