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••••••••• W••••• mixed wealth currentsince Feb 25, 2025 · Waller, Tx
- A• W••••• M••••••••• L•• BD affiliatedNov 30, 2022 to Feb 21, 2025 · Houston, Tx
- G••••••• A•••••••• L•• independent RIAJul 2, 2021 to Dec 1, 2022 · Arden Hills, Mn
- B•••• C••• F•••••••• A•••••••• L•• unclassifiedNov 18, 2020 to Aug 2, 2021 · Houston, Tx
- C••••••••• W•••••• L•• independent RIASep 9, 2019 to Nov 13, 2020 · Overland Park, Ks
- S••••••••• A••••••• formerJan 31, 2019 to Sep 13, 2019 · Houston, Tx
- S••••• I••••••••• M••••••••• L•• independent RIAFeb 23, 2016 to Jan 28, 2019 · Houston, Tx
- A• W••••• M••••••••• L•• to S••••••••• W•••••left Feb 21, 2025, registered Feb 25, 2025 (4 days) · Other
- G••••••• A•••••••• L•• to A• W••••• M••••••••• L••left Dec 1, 2022, registered Nov 30, 2022 (-1 days) · RIA to affiliated broker-dealer or bank
- B•••• C••• F•••••••• A•••••••• L•• to G••••••• A•••••••• L••left Aug 2, 2021, registered Jul 2, 2021 (-31 days) · Other
- C••••••••• W•••••• L•• to B•••• C••• F•••••••• A•••••••• L••left Nov 13, 2020, registered Nov 18, 2020 (5 days) · Other
- S••••••••• A••••••• to C••••••••• W•••••• L••left Sep 13, 2019, registered Sep 9, 2019 (-4 days) · RIA to RIA
- S••••• I••••••••• M••••••••• L•• to S••••••••• A•••••••left Jan 28, 2019, registered Jan 31, 2019 (3 days) · RIA to a newly registered adviser · moved with a team
- J•••••• G••• M••••••• left A• W••••• M••••••••• L•• for S••••••••• W••••• (registered 2025-02-25)Feb 21, 2025 · Advisor changed firm · fact
- J•••••• G••• M••••••• left G••••••• A•••••••• L•• for A• W••••• M••••••••• L•• (registered 2022-11-30)Dec 1, 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address