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••••• L••• M•••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Aug 15, 2025 · Frisco, Tx
- S•••••• N••••••• • C••••••• I••••••••• national BDFeb 25, 2021 to Sep 3, 2025 · Frisco, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 22, 2021 · Plano, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 3, 2009 to Jun 1, 2009 · Plano, Tx
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Apr 7, 2009 · Plano, Tx
- P••••••••• E••••• G••••• L•• unclassifiedFeb 18, 1992 to Jul 1, 2003 · Plano, Tx
- S•••••• N••••••• • C••••••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Sep 3, 2025, registered Aug 15, 2025 (-19 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to S•••••• N••••••• • C••••••• I•••••••••left Feb 22, 2021, registered Feb 25, 2021 (3 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••left Apr 7, 2009, registered Apr 3, 2009 (-4 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
- Robert Lynn Mitchell left Stifel, Nicolaus & Company, Incorporated for Raymond James & Associates, Inc. (registered 2025-08-15)Sep 3, 2025 · 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address