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•••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Pinehurst, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 7, 2022 to Mar 31, 2025 · Pinehurst, Tx
- O•••• F•• I••• formerMay 27, 2022 to Jun 30, 2022 · Tomball, Tx
- U•• F•••••••• S••••••• I••• wirehouseNov 23, 2016 to Jun 21, 2018 · Houston, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDJul 17, 2013 to Nov 17, 2016 · Houston, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- O•••• F•• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jun 30, 2022, registered Nov 7, 2022 (130 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to O•••• F•• I•••left Jun 21, 2018, registered May 27, 2022 (1436 days) · Wirehouse to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to U•• F•••••••• S••••••• I•••left Nov 17, 2016, registered Nov 23, 2016 (6 days) · Affiliated broker-dealer or bank to wirehouse
- H•••• S••••••• left O•••• F•• I••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-11-07)Jun 30, 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address