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.
S•••••••• P•••••
- H•••••••• A•••••••• L•• BD affiliated currentsince Jun 12, 2023 · Houston, Tx
- A•••••• W••••• S•••••••• independent RIASep 10, 2019 to Jun 15, 2023 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseOct 6, 2008 to Sep 17, 2019 · Houston, Tx
- A•••••• W••••• S•••••••• to H•••••••• A•••••••• L••left Jun 15, 2023, registered Jun 12, 2023 (-3 days) · RIA to affiliated broker-dealer or bank · moved with a team
- U•• F•••••••• S••••••• I••• to A•••••• W••••• S••••••••left Sep 17, 2019, registered Sep 10, 2019 (-7 days) · Wirehouse to independent RIA · moved with a team
- S•••••••• P••••• left A•••••• W••••• S•••••••• for H•••••••• A•••••••• L•• (registered 2023-06-12)Jun 15, 2023 · 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address