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.
D•••••• C• C•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Aug 10, 2022 · Houston, Tx
- H•••••• W•••••• I••••••••• S••••••• I••• independent RIAOct 16, 2017 to Aug 10, 2022 · Woodlands, Tx
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Oct 25, 2017 · Houston, Tx
- C•••• I••••••••• S••••••• C•••• formerSep 29, 2008 to Oct 1, 2012 · Houston, Tx
- H•••••• W•••••• I••••••••• S••••••• I••• to C••••• I••••••••• A••••••• L••left Aug 10, 2022, registered Aug 10, 2022 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to H•••••• W•••••• I••••••••• S••••••• I•••left Oct 25, 2017, registered Oct 16, 2017 (-9 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
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address