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.
R••••• S•••••• O•
- M•• F•••••••• S•••••••• I••• BD affiliated currentsince Dec 16, 2024 · Houston, Tx
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAOct 10, 2018 to Oct 14, 2021 · Houston, Tx
- P•••••••• S••••••••• I••• BD affiliatedAug 24, 2016 to Oct 10, 2017 · Eau Claire, Wi
- M••••• O• O•••• I••••••• S•••••••• I••• to M•• F•••••••• S•••••••• I•••left Oct 14, 2021, registered Dec 16, 2024 (1159 days) · Other
- P•••••••• S••••••••• I••• to M••••• O• O•••• I••••••• S•••••••• I•••left Oct 10, 2017, registered Oct 10, 2018 (365 days) · Other
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address