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.
A••• S••••• B•••••••
- P••••••• W•••••• L•• independent RIA currentsince Apr 12, 2025 · Denver, Co
- C•••• W••••• M••••••••• L•• unclassifiedSep 18, 2017 to Dec 31, 2020 · Houston, Tx
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedNov 13, 2015 to Sep 26, 2017 · Bellaire, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedJun 30, 2009 to Nov 27, 2015 · Houston, Tx
- C•••• W••••• M••••••••• L•• to P••••••• W•••••• L••left Dec 31, 2020, registered Apr 12, 2025 (1563 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to C•••• W••••• M••••••••• L••left Sep 26, 2017, registered Sep 18, 2017 (-8 days) · Other
- M•• I•••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Nov 27, 2015, registered Nov 13, 2015 (-14 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
- Independent wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address