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•••• S••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Oct 1, 2024 · Cypress, Tx
- B• R•••• W••••• A•••••••• I••• BD affiliatedAug 25, 2022 to Oct 30, 2024 · Houston, Tx
- B• R•••• W••••• M••••••••• formerMay 2, 2019 to Dec 31, 2022 · Houston, Tx
- U••• R•• L•• formerJun 6, 2012 to May 2, 2019 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 2, 2006 to Jun 21, 2012 · Houston, Tx
- W•••• F•••• I••••••••• L•• unclassifiedAug 10, 2006 to Oct 3, 2006 · Boise, Id
- B• R•••• W••••• A•••••••• I••• to K••••• A••••••• S•••••••• L••left Oct 30, 2024, registered Oct 1, 2024 (-29 days) · Affiliated broker-dealer or bank to another
- B• R•••• W••••• M••••••••• to B• R•••• W••••• A•••••••• I•••left Dec 31, 2022, registered Aug 25, 2022 (-128 days) · corporate re-registration, not a move
- U••• R•• L•• to B• R•••• W••••• M•••••••••left May 2, 2019, registered May 2, 2019 (0 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• R•• L••left Jun 21, 2012, registered Jun 6, 2012 (-15 days) · Other
- W•••• F•••• I••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 3, 2006, registered Nov 2, 2006 (30 days) · Other
- M•••• S•••• left B• R•••• W••••• A•••••••• I••• for K••••• A••••••• S•••••••• L•• (registered 2024-10-01)Oct 30, 2024 · 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
- 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