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.
C••••••••• C•••••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 24, 2025 · Round Rock, Tx
- O•••• F•• I••• formerFeb 3, 2023 to Jan 24, 2025 · Houston, Tx
- E••••• J•••• national BDSep 26, 2016 to Feb 7, 2023 · Austin, Tx
- U•• F•••••••• S••••••• I••• wirehouseDec 14, 2015 to Sep 21, 2016 · Austin, Tx
- O•••• F•• I••• to O•••• W•••••• I•••left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
- E••••• J•••• to O•••• F•• I•••left Feb 7, 2023, registered Feb 3, 2023 (-4 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to E••••• J••••left Sep 21, 2016, registered Sep 26, 2016 (5 days) · Wirehouse to affiliated broker-dealer or bank
- C••••••••• C••••••• left E••••• J•••• for O•••• F•• I••• (registered 2023-02-03)Feb 7, 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address