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••••• C•••• M•••
- A•• F•••••••• P•••••••• L•• independent RIA currentsince Jun 30, 2023 · Austin, Tx
- U••• C•••••• W••••• A•••••••• L•• BD affiliatedJun 2, 2017 to Jun 30, 2023 · Houston, Tx
- C••••••••• F•••••••• N•••••• national BDNov 11, 2016 to Jun 2, 2017 · Austin, Tx
- U••• C•••••• W••••• A•••••••• L•• to A•• F•••••••• P•••••••• L••left Jun 30, 2023, registered Jun 30, 2023 (0 days) · Affiliated broker-dealer or bank to independent RIA
- C••••••••• F•••••••• N•••••• to U••• C•••••• W••••• A•••••••• L••left Jun 2, 2017, registered Jun 2, 2017 (0 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- D••••• C•••• M••• left U••• C•••••• W••••• A•••••••• L•• for A•• F•••••••• P•••••••• L•• (registered 2023-06-30)Jun 30, 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
- Independent wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address