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••••• I••••
- F•••• I••••••••• S••••••• BD affiliated currentsince Jun 15, 2022 · Spring, Tx
- A•••••• I••••••••• I••• independent RIAMar 24, 2022 to Apr 12, 2022 · Houston, Tx
- F•••• I••••••••• S••••••• BD affiliatedJan 26, 2022 to Feb 17, 2022 · San Antonio, Tx
- F•••• I••••••••• S••••••• BD affiliatedNov 15, 2021 to Dec 31, 2021 · Houston, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerAug 3, 2017 to Oct 8, 2021 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 18, 2017 to Jul 27, 2017 · The Woodlands, Tx
- A•••••• I••••••••• I••• to F•••• I••••••••• S•••••••left Apr 12, 2022, registered Jun 15, 2022 (64 days) · RIA to affiliated broker-dealer or bank
- F•••• I••••••••• S••••••• to A•••••• I••••••••• I•••left Feb 17, 2022, registered Mar 24, 2022 (35 days) · Affiliated broker-dealer or bank to independent RIA
- P•• M•••••• A•••••• S••••••••• I••• to F•••• I••••••••• S•••••••left Oct 8, 2021, registered Nov 15, 2021 (38 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• M•••••• A•••••• S••••••••• I•••left Jul 27, 2017, registered Aug 3, 2017 (7 days) · Other
- A••••• I•••• left A•••••• I••••••••• I••• for F•••• I••••••••• S••••••• (registered 2022-06-15)Apr 12, 2022 · Advisor changed firm · fact
- A••••• I•••• left F•••• I••••••••• S••••••• for A•••••• I••••••••• I••• (registered 2022-03-24)Feb 17, 2022 · 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address