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•••••••• M••••
- W••••• O•• F••• M••••••••• L•• state registered currentsince Jan 13, 2025 · Katy, Tx
- W••••• O•• F••• M••••••••• L•• state registeredJan 13, 2025 to Dec 31, 2025 · Katy, Tx
- N••• F•••••••• G••••• I••• formerSep 12, 2023 to Nov 16, 2023 · Houston, Tx
- W••••• O•• F••• M••••••••• L•• state registeredFeb 1, 2021 to Dec 31, 2024 · Katy, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 2, 2019 to Jun 4, 2019 · Los Angeles, Ca
- M••••• S•••••• wirehouseJan 26, 2018 to Dec 6, 2018 · Los Angeles, Ca
- W••••• O•• F••• M••••••••• L•• to N••• F•••••••• G••••• I•••left Dec 31, 2024, registered Sep 12, 2023 (-476 days) · Other
- N••• F•••••••• G••••• I••• to W••••• O•• F••• M••••••••• L••left Nov 16, 2023, registered Jan 13, 2025 (424 days) · Affiliated broker-dealer or bank to a state-registered adviser
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W••••• O•• F••• M••••••••• L••left Jun 4, 2019, registered Feb 1, 2021 (608 days) · Wirehouse to a state-registered adviser
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 6, 2018, registered Jan 2, 2019 (27 days) · Wirehouse to wirehouse
- S•••••••• M•••• left W••••• O•• F••• M••••••••• L•• for N••• F•••••••• G••••• I••• (registered 2023-09-12)Dec 31, 2024 · Advisor changed firm · fact
- S•••••••• M•••• left N••• F•••••••• G••••• I••• for W••••• O•• F••• M••••••••• L•• (registered 2025-01-13)Nov 16, 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
- STATE REGISTEREDderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address