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••••• S••• H•••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 24, 2025 · Denison, Tx
- W•••••• S••••••••• I••• BD affiliatedApr 9, 2019 to Jan 23, 2025 · Dallas, Tx
- R•••••• J•••• • A••••••••• I••• national BDFeb 13, 2013 to Feb 4, 2019 · Dallas, Tx
- M••••• K••••• • C••••••• L•• formerOct 21, 2009 to Feb 13, 2013 · Dallas, Tx
- C••••••• A•••• M••••••••• I•• unclassifiedJul 17, 2007 to Oct 21, 2009 · Dallas, Tx
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedOct 3, 2005 to Jun 23, 2006 · Dallas, Tx
- W•••• F•••• A••••••• wirehouseJan 3, 2005 to Sep 16, 2005 · Waxahachie, Tx
- W•••••• S••••••••• I••• to L•• F•••••••• L••left Jan 23, 2025, registered Jan 24, 2025 (1 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• • A••••••••• I••• to W•••••• S••••••••• I•••left Feb 4, 2019, registered Apr 9, 2019 (64 days) · Affiliated broker-dealer or bank to another
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
- C••••••• A•••• M••••••••• I•• to M••••• K••••• • C••••••• L••left Oct 21, 2009, registered Oct 21, 2009 (0 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to C••••••• A•••• M••••••••• I••left Jun 23, 2006, registered Jul 17, 2007 (389 days) · Other
- W•••• F•••• A••••••• to U•••• F•••••••• S••••••• G••••• I•••left Sep 16, 2005, registered Oct 3, 2005 (17 days) · Other
- R••••• S••• H••••• left W•••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2025-01-24)Jan 23, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address