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.
C••••••••• T•••••
- R•• C•••••• M••••••• L•• national BD currentsince Jul 6, 2026 · Houston, Tx
- J••• M••••• S••••••••• L•• wirehouseDec 9, 2022 to Jul 17, 2026 · Katy, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to Nov 7, 2022 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerSep 3, 2012 to Jan 8, 2018 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Aug 13, 2012 · Boston, Ma
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 15, 2004 to Oct 23, 2009 · Charlotte, Nc
- J••• M••••• S••••••••• L•• to R•• C•••••• M••••••• L••left Jul 17, 2026, registered Jul 6, 2026 (-11 days) · Wirehouse to affiliated broker-dealer or bank
- U••• I••••••••• S••••••• C•••••• to J••• M••••• S••••••••• L••left Nov 7, 2022, registered Dec 9, 2022 (32 days) · Other
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• F•••••••• P••••••• S•••••••left Aug 13, 2012, registered Sep 3, 2012 (21 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- C••••••••• T••••• left J••• M••••• S••••••••• L•• for R•• C•••••• M••••••• L•• (registered 2026-07-06)Jul 17, 2026 · Advisor changed firm · fact
- C••••••••• T••••• left U••• I••••••••• S••••••• C•••••• for J••• M••••• S••••••••• L•• (registered 2022-12-09)Nov 7, 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
- National broker-dealer RIAderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address