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•••• L•• M••••• C•••••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Sep 19, 2025 · Fort Worth, Tx
- U•• F•••••••• S••••••• I••• wirehouseFeb 20, 2009 to Sep 29, 2025 · Ft. Worth, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 12, 1988 to Feb 23, 2009 · Fort Worth, Tx
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Sep 29, 2025, registered Sep 19, 2025 (-10 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Feb 23, 2009, registered Feb 20, 2009 (-3 days) · Wirehouse to wirehouse
- D•••• L•• M••••• C••••••• left U•• F•••••••• S••••••• I••• for S•••••• N••••••• • C••••••• I••••••••• (registered 2025-09-19)Sep 29, 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address