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.
D•••• E•••• C•••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Feb 2, 2023 · Houston, Tx
- P••• C••••••• P••••••• independent RIAMar 25, 2019 to Feb 6, 2023 · Houston, Tx
- W••••• D••••••••• S••••••••• I••••••••• A•••••••• I••• state registeredNov 17, 2016 to Mar 5, 2019 · Houston, Tx
- H•••••• T••••••• • K•••• L•• independent RIAAug 31, 2016 to Mar 1, 2019 · Houston, Tx
- P••• C••••••• P••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Feb 6, 2023, registered Feb 2, 2023 (-4 days) · RIA to affiliated broker-dealer or bank
- W••••• D••••••••• S••••••••• I••••••••• A•••••••• I••• to P••• C••••••• P•••••••left Mar 5, 2019, registered Mar 25, 2019 (20 days) · Other
- H•••••• T••••••• • K•••• L•• to W••••• D••••••••• S••••••••• I••••••••• A•••••••• I•••left Mar 1, 2019, registered Nov 17, 2016 (-834 days) · Affiliated broker-dealer or bank to a state-registered adviser · moved with a team
- D•••• E•••• C••••••• left P••• C••••••• P••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-02-02)Feb 6, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address