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••••• H••••• A••••
- A••• A••••••• P••••••• BD affiliated currentsince Jul 13, 2026 · New York, Ny
- U••• C•••••• W••••• A•••••••• L•• BD affiliatedMar 1, 2018 to Jul 17, 2026 · Houston, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to Apr 13, 2018 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerFeb 2, 2009 to Jan 8, 2018 · San Antonio, Tx
- A••••••• F••••••••• L••• BD affiliatedAug 26, 2008 to Nov 4, 2008 · Houston, Tx
- H•• F•••••••• A••••••• unclassifiedOct 5, 2007 to Jul 30, 2008 · Lubbock, Tx
- U••• C•••••• W••••• A•••••••• L•• to A••• A••••••• P•••••••left Jul 17, 2026, registered Jul 13, 2026 (-4 days) · corporate re-registration, not a move
- U••• I••••••••• S••••••• C•••••• to U••• C•••••• W••••• A•••••••• L••left Apr 13, 2018, registered Mar 1, 2018 (-43 days) · Affiliated broker-dealer or bank to independent RIA
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- A••••••• F••••••••• L••• to U••• F•••••••• P••••••• S•••••••left Nov 4, 2008, registered Feb 2, 2009 (90 days) · Other
- H•• F•••••••• A••••••• to A••••••• F••••••••• L•••left Jul 30, 2008, registered Aug 26, 2008 (27 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