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.
N•••• G•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 16, 2023 · Mercer Island, Wa
- A••••••• F•••••••• A•••••••• L•• BD affiliatedApr 25, 2023 to Sep 22, 2023 · Houston, Tx
- A••••••• W••••• A••••••• BD affiliatedOct 4, 2021 to Apr 20, 2023 · Angleton, Tx
- S•••••••• F••••••••• I••• formerDec 6, 2013 to Oct 18, 2021 · Angleton, Tx
- S••••••••• A•••••• A•••••••• I••• formerOct 22, 2013 to Dec 5, 2013 · Angleton, Tx
- A••••••• F•••••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Sep 22, 2023, registered Oct 16, 2023 (24 days) · Affiliated broker-dealer or bank to another
- A••••••• W••••• A••••••• to A••••••• F•••••••• A•••••••• L••left Apr 20, 2023, registered Apr 25, 2023 (5 days) · Affiliated broker-dealer or bank to another
- S•••••••• F••••••••• I••• to A••••••• W••••• A•••••••left Oct 18, 2021, registered Oct 4, 2021 (-14 days) · Affiliated broker-dealer or bank to another · moved with a team
- S••••••••• A•••••• A•••••••• I••• to S•••••••• F••••••••• I•••left Dec 5, 2013, registered Dec 6, 2013 (1 days) · Other
- N•••• G••••••• left A••••••• F•••••••• A•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-10-16)Sep 22, 2023 · Advisor changed firm · fact
- N•••• G••••••• left A••••••• W••••• A••••••• for A••••••• F•••••••• A•••••••• L•• (registered 2023-04-25)Apr 20, 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
- National broker-dealer RIAderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address