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.
R•••• D••• B••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Mar 25, 2024 · Houston, Tx
- E••••• J•••• national BDApr 14, 2022 to Aug 24, 2023 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 9, 2018 to Apr 14, 2022 · Katy, Tx
- J••• M••••• S••••••••• L•• wirehouseMay 31, 2016 to Apr 11, 2018 · Houston, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerFeb 25, 2016 to May 19, 2016 · Houston, Tx
- E••••• J•••• to A••••••••• F•••••••• S•••••••• L••left Aug 24, 2023, registered Mar 25, 2024 (214 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••left Apr 14, 2022, registered Apr 14, 2022 (0 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 11, 2018, registered Apr 9, 2018 (-2 days) · Wirehouse to wirehouse · moved with a team
- P•• M•••••• A•••••• S••••••••• I••• to J••• M••••• S••••••••• L••left May 19, 2016, registered May 31, 2016 (12 days) · Other
- R•••• D••• B•••• left E••••• J•••• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-03-25)Aug 24, 2023 · Advisor changed firm · fact
- R•••• D••• B•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for E••••• J•••• (registered 2022-04-14)Apr 14, 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address