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.
E••••• A•••• S••••
- I•••••••• A•••••••• L•• BD affiliated currentsince Nov 3, 2025 · Waco, Tx
- L••• S••••• A•••••••• L•• formerSep 22, 2016 to Nov 3, 2025 · Waco, Tx
- W••••••• F•••••••• S•••••••• I••• formerMay 26, 2006 to Sep 27, 2016 · Waco, Tx
- A•••••• C•••••• M••••••••• independent RIAMar 8, 2005 to Nov 4, 2011 · Waco, Tx
- A•••••• C•••••• M••••••••• independent RIAFeb 18, 2004 to Dec 31, 2004 · Waco, Tx
- O•• A••••••• G•••• unclassifiedFeb 13, 2003 to Aug 8, 2006 · San Antonio, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedOct 23, 2002 to May 19, 2006 · Waco, Tx
- W• G••••••• S••••••••• I••• unclassifiedJun 1, 1995 to Oct 30, 2002 · Hartford, Ct
- L••• S••••• A•••••••• L•• to I•••••••• A•••••••• L••left Nov 3, 2025, registered Nov 3, 2025 (0 days) · corporate re-registration, not a move
- W••••••• F•••••••• S•••••••• I••• to L••• S••••• A•••••••• L••left Sep 27, 2016, registered Sep 22, 2016 (-5 days) · Other · moved with a team
- A•••••• C•••••• M••••••••• to W••••••• F•••••••• S•••••••• I•••left Nov 4, 2011, registered May 26, 2006 (-1988 days) · Other
- O•• A••••••• G•••• to A•••••• C•••••• M•••••••••left Aug 8, 2006, registered Feb 18, 2004 (-902 days) · Other
- M•• I•••••••• S•••••••• L•• to O•• A••••••• G••••left May 19, 2006, registered Feb 13, 2003 (-1191 days) · Other
- W• G••••••• S••••••••• I••• to M•• I•••••••• S•••••••• L••left Oct 30, 2002, registered Oct 23, 2002 (-7 days) · Other
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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address