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.
J••••••• M•••• M••••
- I••• W••••• P••••••• independent RIA currentsince Aug 2, 2022 · Houston, Tx
- I••• W••••• P•••••••• L•• formerSep 21, 2017 to Aug 1, 2022 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseJun 6, 2014 to Aug 29, 2016 · Houston, Tx
- S•••••••• A••••••• L•• national BDOct 11, 2011 to Jun 4, 2014 · Houston, Tx
- I••• W••••• P•••••••• L•• to I••• W••••• P•••••••left Aug 1, 2022, registered Aug 2, 2022 (1 days) · channel change inside one enterprise, not a move · moved with a team
- U•• F•••••••• S••••••• I••• to I••• W••••• P•••••••• L••left Aug 29, 2016, registered Sep 21, 2017 (388 days) · Other
- S•••••••• A••••••• L•• to U•• F•••••••• S••••••• I•••left Jun 4, 2014, registered Jun 6, 2014 (2 days) · Affiliated broker-dealer or bank to wirehouse
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address