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••••• S•••• L•••••
- L••••• F•••••••• G••••• L•• BD affiliated currentsince Aug 31, 2026 · Houston, Tx
- L•• F•••••••• L•• BD affiliatedMay 31, 2022 to Oct 28, 2022 · Houston, Tx
- I••••• F•••••••• independent RIAJan 17, 2020 to Jul 1, 2026 · Houston, Tx
- I••••• F•••••••• to L•• F•••••••• L••left Jul 1, 2026, registered May 31, 2022 (-1492 days) · RIA to RIA
- L•• F•••••••• L•• to L••••• F•••••••• G••••• L••left Oct 28, 2022, registered Aug 31, 2026 (1403 days) · RIA to affiliated broker-dealer or bank
- S••••• S•••• L••••• left I••••• F•••••••• for L•• F•••••••• L•• (registered 2022-05-31)Jul 1, 2026 · Advisor changed firm · fact
- S••••• S•••• L••••• left L•• F•••••••• L•• for L••••• F•••••••• G••••• L•• (registered 2026-08-31)Oct 28, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address