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.
K••••• D•••••• M••••••
- C•••••••• C•••••• A•••••••• L•• independent RIA currentsince Feb 12, 2025 · Houston, Tx
- C•••••••• C•••••• A•••••••• L•• independent RIAFeb 1, 2022 to Dec 31, 2024 · Houston, Tx
- S•••••• N••••••• • C••••••• I••••••••• national BDDec 4, 2015 to Jan 21, 2022 · Houston, Tx
- B••••••• C•••••• I••• formerJul 26, 2013 to Dec 4, 2015 · Houston, Tx
- S•••••• N••••••• • C••••••• I••••••••• to C•••••••• C•••••• A•••••••• L••left Jan 21, 2022, registered Feb 1, 2022 (11 days) · Affiliated broker-dealer or bank to independent RIA
- B••••••• C•••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Dec 4, 2015, registered Dec 4, 2015 (0 days) · corporate re-registration, not a move
- K••••• D•••••• M•••••• left S•••••• N••••••• • C••••••• I••••••••• for C•••••••• C•••••• A•••••••• L•• (registered 2022-02-01)Jan 21, 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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address